Transparency, Accountability, Privacy, and the Role of RIM at GAO

1. Transparency, Accountability, Privacy,
and the Role of RIM - A view from the
people who live in the glass house
Catherine Teti
Managing Director, Knowledge Services &
Chief Agency Privacy Officer, US GAO
The viewpoints expressed in this presentation are those of the author and do not
necessarily reflect those of the US GAO
ARMA Metro Maryland
September 15, 2010

2. What is GAO?
• Independent, non-partisan agency that works for Congress.
• Called the “Congressional watchdog.”
• Headquartered in Washington, DC; 11 field offices.
• Employs approximately 3,300 people/1,000 consultants.
• Headed by the Comptroller General, a Presidential appointee.
• Staff highly trained, degreed, and diverse.
September 15, 2010 2

3. GAO’s Organization
Public Affairs Strategic Planning Congressional Comptroller General Opportunity and Inspector General
and External Liaison Relations Of the United States Inclusiveness
(Acting)
General Chief Operating Chief Administrative
Counsel Officer Officer/CFO
Quality and Continuous Field Operations
Improvement
Controller Human Capital
(CIO)
Information Systems & Knowledge
Technology Services Services
Professional Development
Program
Teams
Acquisition and Financial Health Care Information National Strategic Issues
Sourcing Management Defense Management and Technology Resources and
Capabilities and Assurance Environment
Management
Forensic Audits
and Special
Investigative Unit
Applied Research Education, Financial Markets Homeland International Physical
and Methods Workforce, and and Community Security and Affairs and Trade Infrastructure
Income Security Investment Justice
September 15, 2010 3

4. Knowledge Services at GAO
Knowledge Services
Managing Director
Chief Agency Privacy Officer
Catherine Teti
Executive Assistant
Lisa Briscoe
Budget & Operations Customer Relations
Sue Schriner Steve May
• KS Budget • Customer Service
• KS Records o Customer education
• KS Planning, Oversight, o Customer outreach
Tracking • Analytical studies
• KS Employee Enrichment
Program (EEP)
• Performance measures
• Policy review
• Special projects
• Strategic planning
Information Assets Library and Publications & Shared Services Web Content/Electronic Media
Deputy Privacy Officer Information Services Dissemination Jaime Lleras Sharon Dooley
Nancy Hunn Bonnie Mueller Leo Barbour
• Asset (records) policy, • Virtual Library • Mail • Web content
guidance, oversight, & training • Identification & evaluation Publishing Technical Product Assistance • Convenience copying • Photo services
o Asset identification & of new data sources Support & Groups (PAG) • Scanning • Video services
capture, retention, & • Team research support e-Dissemination • Property/inventory • Multimedia services
disposition • Library facility O&M support • Organizational telephone
• Production, planning,
--paper • Source authentication/ • Hardware • Supplies directory
coordination, &
--photos documentation support • Software • Courier services
tracking
--e-media • Interlibrary loans • Process • Loaner equipment
--physical exhibits, • Graphics & visual
• Collection acquisition improvement • Video teleconference
artifacts analysis services
• Information Architecture • Print quality scheduling/support
• Composition support
o Electronic Records • Taxonomy/Thesaurus • Supplies
• Communications
Management System Development & Support
analysis services
• Forms Management QA & Print • Copyediting
• Orders Procurement/ • File conversion
Distribution
• GAO Privacy Program (SRA)
September 15, 2010 4

5. Living in the Glass House Means:
• Following leading practices in information management.
• Having a sound Records Management Program.
• Having a Privacy Program that goes above and beyond
federal policies and regulations.
• Collaborating across the agency to solve complex
information management and technology challenges.
September 15, 2010 5

6. GAO’s Strategic Knowledge/Information Vision
• Goal 3: Help Transform the Federal Government to
Address National Challenges
• Support Congressional Oversight of Major
Management Challenges and Program Risks
• Identify ways to improve the collection, dissemination,
and quality of federal information
• Goal 4: Maximize the Value of GAO by Enabling Quality,
Timely Service to the Congress, and by Being a Leading
Practices Federal Agency
• Expand Networks, Collaborations, and Partnerships That
Promote Professional Standards and Enhance GAO’s
Knowledge, Agility, and Response Time
• Be a Responsible Steward of GAO’s Human, Information,
Fiscal, Technological, and Physical Resources
September 15, 2010 6

7. Key Efforts
• Protecting the privacy of individuals’ personal information in
the current technological climate.
• Reviewing the government’s progress in using electronic
technology to store, preserve, and share public records.
• Identifying and capturing orphaned records at GAO.
• Creating a corporate taxonomy.
• Implementing an enterprise content management tool.
September 15, 2010 7

8. GAO’s Guiding IM Principles
• “Cradle to grave” content management
• Business requirements orientation
• IM embedded into GAO business processes
• Cross-organizational collaboration
• Users as stakeholders
September 15, 2010 8

9. Domains of Influence & Collaborating Disciplines
Organizational Business
Related Transformations
• Program Oversight
Knowledge Mgmt
• Integration of Collaborative Functions
• Performance Measurement Intellectual Capital
• Tacit/Implicit Knowledge
• Explicit Knowledge
• Synthesis of Knowledge
Information Mgmt
Records/Asset Mgmt Human Capital
• Succession Planning
Information Security/Privacy • Business Processes
• Personally Identifiable Information (PII) • Organizational Learning
Technology Mgmt Social Capital
Document Mgmt
(Infrastructure) • Versions • Communities/Networks
(Systems Development Lifecycle) • Workflow • Collaboration
Content Mgmt • Culture
Data Mgmt • Taxonomies
• Search
(repositories)
Segment Architecture Information Services
• Library
• Research
• Knowledge repositories
September 15, 2010 9

10. GAO’s Records Management Program
• Built upon simplified retention schedules
• Fully integrated DM and Electronic Records
Management System (ERMS)
• Physical record dispositions quarterly
• Records Liaison Officers in each business unit
• Regular change management activities like records
management and DM training for staff
September 15, 2010 10

11. GAO’s Electronic Records Management System (ERMS)
• Three retention policy profiles
• Tied to the records retention
schedule.
• No records declaration.
• Profile metadata enhances
searching for records.
• System has a powerful search
engine.
• Paper Profiles allow users to
keep track of physical records.
September 15, 2010 11

12. Privacy at GAO
• GAO is not subject to the privacy and information
security laws applicable to Executive Branch agencies.
• GAO follows the spirit of Executive Branch laws and
best practices.
• GAO’s Privacy Program strives to follow the Privacy Act
and to meet and exceed the best practices of other
agencies.
• 4 CFR Part 83, GAO Privacy Rule
September 15, 2010 12

13. GAO’s Privacy Program
• Predicated on Fair Information Practices.
• Requires Privacy Impact Assessments (PIA) for systems
with PII (personally identifiable information).
• Requires management of PII consistent with the Privacy
Act.
• Ensures privacy protection in GAO’s system security.
• Tied closely to GAO’s information management
program.
September 15, 2010 13

14. Cross-Domain IM Initiatives
Public Affairs Strategic Planning Congressional Comptroller General Opportunity and Inspector General
and External Liaison Relations Of the United States Inclusiveness
(Acting)
General Chief Operating Chief Administrative
Counsel Officer Officer/CFO
Quality and Field Operations Deputy CAO
Continous
Improvement Controller Human Capital
(CIO) CLO
Information Systems & Knowledge
Services
Collaboration, Knowledge Sharing Technology Services
Professional Development
Program
• ERMS
• WebTeams initiatives
2.0
Acquisition and Financial Information National Strategic Issues
Defense Health Care
Sourcing Management
• Wiki (internal) Capabilities and
Management
Management and
Assurance
Technology Resources and
Environment
• YouTube, Twitter, mobile devices
Forensic Audits
and Special
Investigative Unit
(external)Applied Research Education, Financial Markets Homeland International Physical
• Enterprise content management /
and Methods Workforce, and
Income Security
and Community
Investment
Security and
Justice
Affairs and Trade Infrastructure
corporate taxonomy Cross-Domain “IM” Initiatives
• Agency knowledge collections
• Expert locator system
September 15, 2010 14

15. New Technology and Tools
• Collaboration
• Wikis and Blogs
• IM/Twitter
• Networking
• YouTube
• Facebook/Linked In
September 15, 2010 15

16. Key Requirements for Effective IM
• Business Purpose
• Align management with GAO business processes to meet
mission objectives
• Governance
• Clearly define policy and requirement
• Recognize constraints and limitations
• Strive for user engagement
• Oversight
• Performance measures and accountability
September 15, 2010 16

17. For More Information
Catherine Teti
tetic@gao.gov
(202) 512-9255
September 15, 2010 17