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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*
• All lines will be muted during session
• Use the chat feature to ask questions
• Session being recorded (audio and web)– Available on NARA’s web site
• Thank you…we will begin shortly
National Archives and Records Administration
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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
National Archives and Records Administration
National Archives and Records Administration
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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
National Archives and Records Administration
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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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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]