How To Utilize NARA’s Resources

For Your Organization

Donna Read, CRM

Senior Records Analyst

NARA-Southeast Region FGCARMA

March 2006

www.archives.gov

What is NARA?In 1985, NARA became an independent agency

under the Executive Branch of the Federal government.

The National Archives and Records Administration is a public trust on which our democracy depends.

We ensure continuing access to essential evidence that documents:

The rights of American citizens The actions of federal officials The national experience

www.archives.gov

What Does NARA Do?

Preserve and make available documents and materials created by the United States Federal government.

Some of our holdings: Charters of Freedom Declaration of Independence Constitution Bill of Rights Emancipation Proclamation Louisiana Purchase Treaty

www.archives.gov

Where Is NARA?

Archives I in Washington, DC

Archives II in College Park, MD

21 Regional records and archive facilities located across the country

3 Satellite offices - Florida, Texas and New Mexico

12 Presidential Libraries

8 Affiliated Archives in 7 states

www.archives.gov

What Does NARA Have in Common With Non-Federal Entities?

We’re all governed by laws that pertain to records.

Federal Records Act of 1950

Florida Sunshine Law of 1967

Sarbanes Oxley Act of 2002

www.archives.gov

How can we help each other?

From NARA’s Strategic Plan:

“We will partner with Federal agencies and others to develop, adapt, or

adopt products and practices that support good records management.

Our experience shows that we are more effective in partnerships than

working alone. Potential partners include standards organizations, state and

local

governments, other countries, and the private sector.”

www.archives.gov

The Elephant in the Room………Electronic Records

Decline in number of staff specializing in filing

Investment in software functionality that creates records is growing

Mission critical records often not shareable, retrievable, or useable

Copies proliferate: data conflicts or is unreliable

Email replaces phone conversations and meetings

Litigation and discovery costs skyrocketing

Authenticity is questioned

Premature destruction or extended retention

www.archives.gov

Several Elephants in the Room with Multiple Personality Disorders!

Variety - Over 16,000 formats for e-records

Complexity – Increasingly sophisticated formats

Volume – Vast quantities of records

Obsolescence – Constantly changing technology

User Expectations – Evolving, unrelenting

www.archives.gov

Anybody Else Having Problems

with E-Records???? Aerospace Pharmaceuticals Energy Transportation Electronics Services

Actually, every enterprise and individual who has need to access electronic materials beyond 5-10 years.

www.archives.gov

What is NARA Doing about Electronic Records?

The ERA!!!

“The Electronic Records Archives (ERA) will be a comprehensive, systematic, and dynamic means for preserving virtually any kind of electronic record, free from dependence on any specific

hardware or software.”

www.archives.gov

Government and Private Sector Partners

NationalScienceFoundation San Diego Super

Computer Center

Global Grid

Forum

National Computational Science Alliance

Army ResearchLaboratory

National Institute of Standards & TechnologyNISTNIST

National Partnership for Advanced Computational

Infrastructure

www.archives.gov

ERA Requirements Persistent

To manage and access the records over time. Authentic

To ensure that these are the original records

Records that are created with attached documentary information

ScalableTo grow and adapt to increasing volumes and evolving types of electronic records

To serve a variety of user groups

www.archives.gov

Metadata

ArchivalRepository

OrderFulfillment

System

ReferenceWorkbench

Query

Rebuild

Present

Tapes

AccessioningWorkbench

Accession

Verify

Transform, Wrap &

Containerize

Describe

Collection

Disks

Internet

Collection

Collection

RecordsSchedules Archival Research Catalog

www.archives.gov

What Will The System Do?

Protect the system and the records with state-of-the-art security.

Accommodate substantial growth in volume & variety.

Support the collection, integration, and sharing of information about records.

www.archives.gov

And….

Support the workflow associated with business processes.

Interoperate with other systems.

Maintain a complete audit trail.

www.archives.gov

Architecture Requirements Open Event Driven Architecture Evolvable Integrated COTS Central Business Rule Repository Distributed / Grid Centric / Self-managing Secure / Classified As Well As Unclassified Highly Scaleable In All Dimensions HW / SW Independent Component

Intermediation Highly Reliable

www.archives.gov

Where Are We Now on ERA?

On September 8, 2005 NARA announced the selection of Lockheed Martin Corporation to build the Electronic Records Archives.

Lockheed Martin Corporation was selected based on the following best value factors: 1) best technical solution, 2) system and software engineering methodology, and 3) management.

http://www.archives.gov/era/

www.archives.gov

Additional Contact Info for ERA

Fynnette Eaton in College Park, MD

fynnette.eaton@nara.gov

1-301-837-2007

www.archives.gov

How Does All This Help You?

NARA has issued guidance for dealing with electronic records

………………………..lots of it!!!

www.archives.gov

Guidance Bulletins http://www.archives.gov/records-mgmt/bulletins/i

ndex.html

Guidance for Building an Effective Enterprise-wide Electronic Records Management (ERM) Structure

Evaluating Commercial Off-the-Shelf (COTS) Electronic Records Management Applications

Transfer of Permanent E-records to NARA Federal Enterprise Architecture Records Management

Profile Methodology for Determining Agency-unique Requirements Coordinating the Evaluation of Capital Planning &

Investment Control Proposal for ERM Applications ……and more

www.archives.gov

Guidance for Building an Effective Enterprise-wide Electronic Records Management (ERM) Governance Structure

19 page document Defines governance Tips for good ERM project governance Essential Elements Illustrative Model of Governance

Bodies at Work Lessons Learned

www.archives.gov

Evaluating Commercial Off-the-Shelf (COTS) Electronic Records Management Applications

32 page document with attachments Methodology for evaluation ERM Development process Analyzing requirements Setting criteria Sample product scoring profile Presenting analysis Functional requirements Lessons learned

www.archives.gov

Transfer of Permanent E-records to NARA

Transfer Instructions for: Existing E-mail Messages with Attachments Scanned Images of Textual Records Permanent E-records in Portable Document

Format (PDF) XML schema for RM and archival metadata Digital Photographic Records Digital Geospatial Data Records (GIS) Web Content Records

www.archives.gov

How Can NARA’s Transfer Instructions Help Me?

They include technical specifications for transfer

Definitions of what is to be included

Documentation that needs to accompany transfers

Formats accepted

Security settings that will allow future access

www.archives.gov

For Example

Technical Review of Potentially Permanent Digital Geospatial Data – System Information, Data Construction, Technical Documentation…..

Image Quality Specification for Digital Photographic Records – Records created using digital cameras must be captured as 2 megapixel files or greater with a minimum pixel array of 1,600 pixel by 1,200 pixels.

www.archives.gov

ETC.

For transfer of scanned images of textual records NARA will accept TIFF, GIF, BIIF, and PNG formats. Bitonal (1-bit) scanned at 300-6– ppi, Gray scale (8-bit_ scanned at 300-4– ppi, Color (24-bit RGB [Red, Grenn, Blue]) scanned at 300-4– ppi.

www.archives.gov

Federal Enterprise Architecture (FEA) Records Management Profile

72 page document Framework that overlays 5 other Reference

Models How to use the RM Profile to improve records

management How RM is integrated in the SDLC (Systems

Development Lifecycle) NARA’s endorsement of records management

applications

www.archives.gov

Methodology for Determining Agency-unique

Requirements

15 page document Requirements classification Best practices when customizing

5015.2-certified RMA software Review of existing systems Review of Infrastructure/It architecture Stakeholder review

www.archives.gov

Coordinating the Evaluation of CapitalPlanning & Investment Control Proposal forERM Applications

11 page document

Management technique used to review and evaluate large federal IT investments

3 steps to assist with management of an enterprise-wide ERM

www.archives.gov

Fast Track Guidancehttp://www.archives.gov/records-mgmt/policy/fast-track.html

Overview: Context for Electronic Records Management[ERM] What is Electronic Recordkeeping [ERK]? Why Federal Agencies Need to Move Toward Electronic Recordkeeping Preliminary Planning for Electronic Recordkeeping: Check list for IT Staff Preliminary Planning for Electronic Recordkeeping: Checklist for RM Staff Typical Records Management [RM] Functions and Typical RM Program

Activities Examples of System Functions for Electronic Recordkeeping (ERK) and

Electronic Records Management (ERM) Survey of Baseline Organizational Information Analysis of Costs and Benefits for ERM/ERK Projects Long version of customizable Electronic Recordkeeping Powerpoint

Presentation Short version of customizable Electronic Recordkeeping Powerpoint

Presentation User's Guide for Electronic Recordkeeping Powerpoint Presentation

www.archives.gov

General Records Schedule

http://www.archives.gov/records-mgmt/ardor/records-schedules.html

25 Schedules for commonly generated records from

Payroll to Information Technology Operations

www.archives.gov

FAQs About Records Management in General FAQs About Federal Records Management FAQs About Records Management Training FAQs About Scheduling and Disposition FAQs About Records Inventories FAQs About Optical Media FAQs About Imaged Records FAQs About Irradiated Mail Additional Records Management Assistance

Frequently Asked Questions About Records Management http://www.archives.gov/records-mgmt/faqs/

www.archives.gov

Miscellaneous Guidance

Guidance for flexible scheduling

Technical Guidelines for Digitizing Archival Materials for Electronic Access: Creation of Production Master Files – Raster Images

Records Storage Facility Standards

www.archives.gov

Training

http://www.archives.gov/records-mgmt/training/

6 Knowledge Areas of Records Management

www.archives.gov

If you are a Federal Entity

Targeted Assistance is available to you.

A customer driven, problem-solving approach to records management

www.archives.gov

Other Resources www.arma.org www.aiim.org www.saa.org www.frma.org ISO 15489 DoD 5015.2 MoReq

www.archives.gov

Thank you very much

Donna Read, CRM

Senior Records Analyst

NARA-Southeast Region

Palm Harbor, Florida

727-781-0568

Donna.read@nara.gov