An event driven storage strategy with governance by design

Getting from chaos to high performing and mature. 

Governance by Design it honestly can be done. 

A record management strategy from the business and enterprise architecture perspective. 

The following graphic suggest a way to acquire and publish for record management purposes. 

• The structure and storage strategy will mirror the APQC business process framework. 

Record Retention and Information Strategy from Right to Left with APQC Process Framework

The table in the lowest part of the graphic above and the header row in the table below reflect the business process at the highest level and the stakeholder who has the decision making authority in the identified processes for the level of quality coming into an organizations functional workflow and the consuming applications and systems your people's work feeds into.  

Often people confuse the annual planning process where a sequence actually does exist, but on the outside it appears to be a completely collaborative process.  No sequence in the minds of those who are not in the discussion.

APQC business process framework headers and stakeholders in the sequence of who supplies the inputs and what roles they are working in.  Notice the first process is creating master records, while 2 through 5 are creating transaction records from master records.

 

1 Design Vision and Strategy	2. Develop products and services	3. Market and Sell Products and Services	4. Deliver Products and Services	5. Manage Products and Services
Executives, Management, HR and Corporate Finance	Engineering and Corporate Marketing	Field Marketing and Sales	Operations, Sales Finance and Supply Chain	Technical Services
Creates master records	Creates transaction records from master records	Creates transaction records from master records	Creates transaction records from master records	Creates transaction records from master records
Updates, Reads and Archives - Never deletes.	Expense Transaction Capability	Expense Transaction and Begins the Revenue Transaction Capability	Expense Transaction Plus Revenue Transaction	Expense Transaction Plus Revenue Transaction
Corporate Sub-Acct 10 Corporate Sub-Acct 20 Corporate Sub-Acct 30	Core Advanced Innovation	Small and Medium Service Providers and Alliances Global Accounts	Resale Bill to 3rd party finance or Federal Enterprise Direct	Partner Supported-Break Fix Service Provider BOT Advanced Service-Prevent

How do I get beyond the challenge where people do not agree and insist they own the data? 

• I get beyond the who owns the data by capturing what each stakeholder wants to call the information.  

What do the corporate policies say and who is listed in the procedures? 

• The corporate policies are rarely changed as they follow industry practices.  
• The industry isn't going to change the spirit of the laws or standards - rather the terms may be updated from time to time.  

 Who creates, enriches and updates or who ends the life cycle in a transaction workflow?

• Most of these questions are shown in the table above

Where do the records begin and where do they need to be validated for audit purposes? 

• Each organization has at least one record resulting from the inputs from an earlier group in the process life cycle.  
• Finance validates the records at each close or before.  

Consider the assurances made to record managers all over the world. 

• The record is an image, then digital records turn an image into data again.

Example; Market Research done a few months ago

A) Failures in Record Management attributed to the disconnect between Data experts and records management roles. 

Internal Customers - IT's Record Retention Strategy

The data experts are not going to engage with records management owners and do not acknowledge the internal customer.  In fact, the complete disregard for the requirement despite every project having a review which is marked no.

The problem remains, with any real intention shown by data experts that would suggest the intent to retain in original format, all records for the organization or agency.  

Just to show you how serious of a challenge this has become.  Working through a few use cases on the subject of Big Data Privacy and Security, a topic about a user acquiring information then writing back to the source.  I asked for an example when this would be important?

The national archives and library of congress was the response.  I nearly fell off my chair.  Before having an anxiety attack, I asked the very sharp leader to help me understand his position.

1. He gave several examples of where this was going ot happen in the NAAR, like changing from one system to another.  
1. How often do we estimate this occurs?  
2. I re-affirmed my understanding of what he was saying, basically we are moving records out of the records management tools into an EDW Appliance, 
1. we are not suggesting the movement of the indexes, 
2. we intend to move the records.  
1. Yes, I was hearing this to be true.  
2. My understanding of records management was not related to an EDW or Analytical Business Intelligence platform.  
1. In the past, these are two different solutions.  
2. If we move everything into EDW and BI tools - we will certainly not have the results we could in the technology designed to manage records.  
1. It is best to perform Return on Investment and Risk Assessments knowing the warehouse operations and architecture roles are not going to honor the record retention requirements.   

The records management owners are unlikely to understand when data people want to talk about changes to information in a database, as the business people are of the understanding that a digital record is as good as a physical record and a physical record CANNOT BE altered.