national archives and records administration 1 welcome to e-government, e-records, and you establish...

National Archives and Records Administration

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Welcome to E-Government,E-Records, and You

• Establish your audio connection:– Dial 1-866-779-0775 – Enter meeting number: *1311066*

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• Session being recorded (audio and web)– Available on NARA’s web site

• Thank you…we will begin shortly


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E-Government, E-Records, and

You: A Web Briefing for CIOs

Martha Morphy, Chief Information Officer and Assistant Archivist, Office of Information Services

Michael J. Kurtz, Assistant Archivist, Office of Records Services-Washington, DC

Laurence Brewer, Director, Life Cycle Management Division

April 11, 2007



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Agenda

E-Records challenges today and into the future

E-Government Act responsibilities and requirements

New guidance and resources to assist agencies in meeting their e-records challenges


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2006 CIO Survey Asset and Risk Management

Conducted for the first time in July 2006

Sent to 28 members of the CIO Council

81% agree or strongly agree their agency’s RM program serves as a risk mitigation tool

69% had attended a NARA presentation on records management

RM topic of highest interest is how to manage electronic records


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Challenges Today

What are the realities of today’s business environment?

Lack of agency processes supporting distributed RIM

Rapid technological obsolescence Overwhelming volume Difficulty assuring the authenticity, reliability, and

integrity of records


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4 specific barriers to the effective management of Government records:

1. Records and information are not managed as agency business assets

2. RM is not viewed as critical to agency mission

3. Marginal support for RM has led to a lack of training, tools, and guidance in Federal agencies

4. The RM and IT disciplines are poorly integrated within Federal agencies

Challenges Today


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Challenges Ahead

Adapting to the current business environment requires:

A systematic approach to managing records

Coordinated records, information, and knowledge management strategies

An efficient RM program that is responsive to internal and external stakeholders and customers


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Your Feedback Do you agree with NARA’s

assessment of the challenges you are facing now?

Do your agency IT and RM staffs work together effectively?

Do you agree with the conclusions of the 2006 CIO survey?


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E-Gov Act of 2002

Section 207(e) of the 2002 Electronic Government Act requires OMB and the Archivist to work towards making recommendations to improve how Government information, including information on the Internet, is organized, preserved, and made accessible to the public


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Federal agencies are already required to: Implement processes and procedures to

manage electronic records in existing systems Identify and schedule electronic records in

electronic information systems Transfer to NARA permanent electronic

records from existing or legacy systems according to approved records schedules

Implementing the E-Gov Act


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Implementing the E-Gov Act NARA Bulletin-2006-02, Implementing the E-Gov Act,

December 15, 2005 Reminds agencies of their responsibilities to identify,

schedule, and transfer permanent records to NARA Outlines the major pieces of existing NARA policy

guidance related to electronic records management and the areas in which future policy will be made

Specifies milestones and targets to ensure compliance with Section 207(e) of the E-Gov Act of 2002

http://www.archives.gov/records-mgmt/bulletins/2006/2006-02.html


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By September 30, 2009, agencies must document that they are meeting their records responsibilities as outlined in section 5 of NARA Bulletin 2006-02 For existing electronic records, agencies must have

NARA-approved records schedules for all records in existing information systems

For new electronic records systems, records management and archival functionality must be incorporated into the design, development, and implementation of electronic systems

Implementing the E-Gov Act


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Your Feedback Were you aware of the E-Gov Act

Section 207 records requirements? Were you aware that NARA

Bulletin 2006-02 provides guidance and resources for helping you meet these requirements?

Is your agency currently identifying and scheduling e-records to meet the September 2009 milestone?


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ResourcesSelected resources to assist you

include: FEA Records Management Profile Toolkit for Managing Electronic

Records Records management guidance,

including web and related guidance

Records management training


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The FEA Records Management Profile Development of an RM Profile began as a response to a

number of challenges Federal agencies face: Agency RM procedures do not integrate people,

policies, processes and technology well Agency enterprise architectures (EA) do not

systematically address RM requirements Agency planning and execution of IT investments

often overlooks the value of RM Systems are often funded, designed and implemented

without adequate thought about how those records will be managed over their entire life cycle


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RM Profile and FEA Lines of Business


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The RM Profile can help you… Be proactive in identifying your records management

requirements Embed RM requirements in well-defined IT processes Incorporate RM requirements at the right time and in

the right place in your work processes Identify and preserve the right records to ensure your

agency programs are accountable to the public and other stakeholders

Build systematic, consistent approaches for implementing current and future RM requirements agency-wide


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The RM Profile does not….

Impose any new requirements on agency programs

Impose any additional costs as a result of implementation

Refer to the RM Profile at http://www.archives.gov/records-mgmt/bulletins/2006/2006-03.html

for additional background information


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Toolkit for Managing Electronic Records toolkit.archives.gov Central Internet portal for sharing and

obtaining proven guidance Currently over 51 documents, interactive

guidance products, web sites, etc. Best practices How to Guidance Process models Tips and techniques Lessons learned Presentations Answers to FAQs


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Web Management Guidance

Guidance for Managing Web Records Web site content records are Federal

records per 44 U.S.C. 3101 Central high level ‘framework’ document Subsequent guidance in specific areas Provides rationale for RM decisions

surrounding web site content and operations records


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Web Management Guidance Basis for making RM decisions to support management

control of web site RM decisions based on risk assessment of

agency web site operations (e.g., NIST Computer Security Act implementation guidance)

Determination of ‘unit of analysis’ for risk assessmentWeb site in toto and manage all to highest level of

riskWeb site compartmentalized according to unique

‘areas’ of differing risk


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Related Web Guidance Frequently Asked Questions about

Instant Messaging Implications of Recent Web

Technologies for NARA Web Guidance

See these products and more at:

http://www.archives.gov/records-mgmt/initiatives/erm-guidance.html


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Other E-Records Guidance

Eight products either recently released or expected in FY 07: Digital Audio/Video FAQ BPA checklist Practical Scheduling Tip Sheet Status of Paper After Digitization PDF/A Implementation Notes CD Media Labeling Guidance CD Media Maintenance Guidance DRM Bulletin


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NARA has created a new records management training program

reflects new directions in Federal records management

ensures that NARA training is consistent in content and quality

fosters an improved level of professionalism in those managing Federal records

NARA training program


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NARA training program Knowledge Areas: Records Management core

courses: Knowledge Area One - Records Management

Overview Knowledge Area Two - Creating and Maintaining

Agency Business Information Knowledge Area Three - Records Scheduling Knowledge Area Four - Records Schedule

Implementation Knowledge Area Five - Asset and Risk

Management Knowledge Area Six - Records Management

Program Development


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Free half-day Professional Courses: Survival Guide for IT Professionals: Information

Assurance and Records Management The Case for Records Management: Issues for

Federal Legal Counsel Recordkeeping: A Program Manager's Survival

Guide Vital Records Advanced Electronic Records Management Disaster Planning and Recovery Basic Electronic Records Management Records Management for Everyone

NARA training program


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Your Feedback Have you used NARA’s recent

guidance? Do NARA’s guidance products and

tools meet your needs? Are the available resources timely

and relevant to your business? Is NARA guidance issued at the

appropriate level for your needs?


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Concluding Remarks

NARA will continue to work with you on your e-records challenges

We are interested in continuing this dialogue with the RM and IT communities

Let us hear from you on how we can support your agency’s needs to improve operational efficiency and effectiveness

Email us at: [email protected]

national archives and records administration 1 welcome to e-government, e-records, and you establish...

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integrity of records

agenda n erecords challenges