Case Study: Implementing RM Migration
Frameworks to Support the Next
Generation of RM Initiatives
Priscilla Emery - Principal, Information Management
IQ Business Group (pemery@iqbginc.com)
John Montel, Deputy, eRecords Officer
U.S. Department of Interior (DOI)
(john_montel@ios.doi.gov)
10:30 AM, May 20, 2014
Session Objectives
At the end of this session you will understand:
• The different reasons an enterprise may need to consider
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migration to a different RIM system and specifically DOI’s RIM
strategy and how migration fits into its overall objectives,
DOI’s experience thus far with using the framework and
migrating its previous systems to the new platform
The different components of a standards-based framework to
size, scope and budget for a migration project providing
examples and details that must not be ignored during the
planning process,
The lessons learned during the course of using the framework
When migration makes sense and when it doesn’t.
Agenda
• Reasons to Consider RM Migration
• DOI eERDMS Project Background
• Development of Migration Framework
• Framework in Practice
• Lessons Learned
• Details of Migration Framework Components
Reasons an Organization Might
Consider an RM Migration?
• Second and Third Generation Systems need to be refined
• Take advantage of new features / functions not available in present
system
• Present system no longer supported by vendor
• Organizational Recognition That Standardization Needs to
Take Place
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Too many different systems to support
• Searching across systems has become almost impossible to
accomplish
• Lack of Information Governance, i.e., 100s of SharePoint sites with
no standard classification or poorly integrated.
• Part of a Digital Preservation Strategy
The Common Denominator?
• Migrations tend to be IT driven
• Can be a hard sell to users
• Need to make sure impacts to business activity are
positive.
• Integrity of old system needs to be quickly understood
• Consistency of classification
• Consistency of file structure
• Consistency of disposition practice
What is the Department of the Interior?
Protects America’s natural resources and heritage, honors our
cultures and tribal communities, and supplies the energy to
power our future
• ~80,000 employees
• $16.8B operation budget
• 500M acres of surface land
• 479 dams and 348 reservoirs
• 30% nation’s energy production
• 55,000 different maps each year
• ~500M visitors
• 1 in 5 acres of land managed
Program Vision
eERDMS will provide the Department with an single
enterprise records management solution for the
capture, preservation and management of
electronic and paper-based records. eERDMS will
identify, capture, preserve and accession records
associated with all inbound and outbound email,
forms, reports, documents, and other Departmental
record assets so that the Department will have
effective access and management of all records.
What is eERDMS ?
• eMail, Enterprise Records and Document
Management Solution
• Serves Office and Bureau records associated areas, such
as:
• Records
• Forms
• Privacy
• Section 508
• and Controlled Unclassified Information (CUI).
• Provides a single enterprise cohesive records
management environment
Components of eERDMS
• Enterprise eArchive System (EES) captures,
journals, and stores all electronic correspondence
• Enterprise Content System (ECS) stores all
electronic content like social media, project files,
websites
• Enterprise Forms System (EFS) automates and
standardizes all internal/external forms
• Enterprise Dashboard System (EDS)
centralizes data, metrics, reporting, and trend
analytics on demand to know and manage large
amounts of information
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Enterprise eArchive System (EES)
• Will provide the Department with an enterprise
records and document management solution for
all email and other electronic correspondence.
• Will be comprised of a Department of Defense
(DOD) 5015.2 certified records management
module.
• Will centralize the Departments’ records program
and provide a single cohesive records
management environment.
• Will begin with the journaling of all email
correspondence, and expand to encompass the
capture of all documents in an electronic format.
Enterprise Content System (ECS)
• Will capture records related to electronic
documents, contents in social media, mobile
media, internal Department websites, and other
common correspondence into the EES records
management component.
• Will follow EES and will enable the analysis and
management of the data captured electronically
for improved management decisions and
information sharing/retention
Benefits of eERDMS
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DOI Management
• Improved decision making using enterprise wide
data
• Improved data and trend analysis
• Improved workflow/workload projections
• Reduction of paper storage capacity and
associated costs
• Elimination of redundant electronic recordkeeping
systems
• Reduce administrative costs and enable
management to focus more on mission related
efforts.
Benefits of eERDMS
DOI Operations:
• Elimination of “Print and File” Requirement
(Starting with Email)
• Elimination of redundant electronic recordkeeping
systems
• Improved search capability across the
Department
• Traceable workflow for all records
• Simplify and reduce administrative record
retentions
• Reduce redundancy in duplicate copies of
records across DOI
Why eERDMS?
• November 2011 President Obama called for:
• “…executive branch wide effort to reform records
management…”
• Develop a framework to manage records ensuring open
Government
• Leverage information across DOI to improve
performance
• Reduce unnecessary costs and burdens to focus on
mission critical functions.
• eERDMS is the program that will implement the
policies, processes and technology to sustain this
framework.
Objectives of Migration
• Comply with Presidential Directive on Managing
Government Records
• Using a cloud-based approach
• Migrate permanent records to an electronic platform
• Provide a standard yet flexible platform for the
Department to support:
• Exponential growth and use of electronic records, including e-mail
• Economies of scale inherent with the use of a standard platform
• Specific objectives may be different depending on the
agency or bureau
Migration Scenarios Can Vary
• Older RM system to eERDMS
• When looking at the need to upgrade a system in place does it make
sense to migrate?
• Manual process to eERDMS
• When there is no ECM system in place does it make sense to migrate
manual procedures to eERDMS?
• Paper Repository to eERDMS
• Does it make sense to do a backfile conversion?
• Does the physical records management system in place still meet the
needs of the bureau / agency?
• These days it’s not just paper or electronic – it’s both
• Need to consider using one tool
• In all cases, if these are really forms-based processes need to
look at migrating to Electronic Forms System (EFS)
Developing a Migration Framework
• To define a repeatable process and framework for the
migration of legacy ECM systems to the newly defined
standard ECM system.
• Framework of standard, yet flexible questions that need to
be answered so that the scope of each migration can be
ascertained.
• Objective of gathering information is to be able to
intelligently estimate level of effort (LOE), capabilities
required, sizing, and cost of migration effort.
• Framework used based on ISO standards and past
experience migrating systems.
Migration Project Steps
• Discovery
• Gather information through set of standard questions and
interviews
• Analysis and Estimation
• Review information gathered and produce an analysis report that
can aid in the development of project functional specifications and
cost estimation.
• Go / No Go
• Decide whether or not the cost and effort to migrate is justified
• Design and Implement
• Develop detailed functional specification, software requirements,
staffing and project plan.
• Production Rollout
• Implement
Framework in Practice
• Guided interview process – not just a questionnaire to
throw out to users
• There was a concern there were TOO many questions being
asked.
• Framework developed with a modular fashion
• Not all sections of questionnaire are relevant to each migration so
need to pick and choose.
• It’s not all about the technology
• Need to understand environments such as satisfaction with current
system, usability, etc.
• Several review cycles needed to make sure all
information is gathered accurately
• Analysis reports need to be reviewed closely by all parties – this is
what the estimates and designs will be based on.
Migration Governance
• Prioritizing which agencies and systems get migrated and
at what time.
• This is both a political and technical decision
• Tracking migrations and communicating status
Lessons Learned
• It’s not enough to just ask questions
• A real demo of system to be migrated is required.
• E.g. DMU document capture process
• Understanding the core operation and process is key to
overall success
• It’s not just a matter of moving files from one system to
another
• Document capture highly impacts records search and
retrieval.
• Sometimes the first technical solution doesn’t provide the
best fit.
Advantages of Using a Migration Framework
• Apply consistent evaluation process against all migration
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activities (perception of fairness)
Minimizes “surprises” during migration process
(completeness of analysis at beginning)
Helps to document justification for migration
Serves as jumping off point for developing migration
project plan
Even when moving from different vendor systems to one
system you have a standard approach for estimating effort
Challenges and How to Address Them
• Some groups are anxious to migrate and some want no
part of it.
• Look for the opportunities where real improvements can be made
and groups are up for the challenge
• Migrating active systems
• Need to put a stake in the ground for when the old system should
stop being changed and files no longer accepted.
• Too soon and you run the risk of creating a huge backlog
• Too late and you run the risk of leaving out files or changes.
• The timing of training new users
• Too soon and they lose interest
• Too late and they feel overwhelmed.
• Stage different levels of training over the course of the project.
Framework Components
• Discovery
• Modular set of questions covering:
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Basic System Information
Capture / Ingestion
Performance, Sizing and Volume
Document Taxonomy / Organization / Indexing
Records Management
Imaging System Features
Document Management
System Reporting and Auditing
Other System Interfaces
Security
Discovery and Audit Response
Shared Drives
System and Document Handling Expenses
Business Environment / Outstanding Issues
Analysis
• Starting point for functional specifications
• Assess present situation and map to new environment
• Account for anomalies / challenges and identify approach
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to address them
Scope level of effort (people, time, etc.)
Identify all software and hardware requirements
Address reusability (or not) of present components
(hardware, networks, etc.)
Estimate costs based on above information
Go / No Go
• What elements justify a go / no go decision?
• Different for each organization.
• ROI
• Standardization
• Timing – Good or Bad
• Official Mandate
• Vendor no longer supports product – dead in the water if you don’t do
something
Implementation
• Dealing with “moving parts”
• Putting a stake in the ground for when updates need to stop on old
system
• Putting a stake in the ground for which version of retention
schedules will be migrated.
Major Issues to Consider When Migrating RM
• Links to Legacy Applications need to be maintained
• Documents under Hold need to be reviewed before
migration.
• “Do No Harm” i.e. Don’t give people less than they
already have.
• Make sure retention levels are maintained – not
necessarily reset
• This can be trickier than it sounds
• Sometimes old classifications and naming practices don’t
make sense to carry over.
• Training, training, training
• John Montel
• eRecords Service Manager
• Service Planning and Management
• Department of the Interior
• Office of the Chief Information Officer
• 1849 C. Street, N.W., Room 7444
• Washington, DC. 20040
• T. (202) 208-3939
• E. john_montel@ios.doi.gov
Priscilla Emery E-Mail: pemery@iqbginc.com
www.iqbginc.com