Transcript RM-2 Year One of the Managing Government Records

Year One of the Managing
Government Records Directive
Lisa Haralampus
Federal Records Management Policy Section Head
Office of the Chief Records Officer
National Archives and Records Administration
Learning Objectives
• Learn about the Managing Government Records
Directive
• Learn about guidance produced by NARA in support
of the goals of the Directive
• Understand the responsibilities placed on Federal
agencies as they work towards implementing the goals
in the Directive
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Backbone of Open Government
“When records are well-managed, agencies can use
them to assess the impact of programs, to reduce
redundant efforts, to save money, and to share
knowledge within and across their organizations. In
these ways, proper records management is the
backbone of open Government.”
The White House Memorandum re:
Managing Government Records, November 28, 2011
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Directive Goals
Require electronic
recordkeeping to ensure
transparency, efficiency, and
accountability
Demonstrate compliance
with Federal records
management statutes and
regulations
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Goal #1: Require electronic
recordkeeping to ensure transparency,
efficiency, and accountability
• By 2019, agencies manage all
permanent electronic records in
electronic formats
• By 2016, agencies manage permanent
and temporary email in accessible,
electronic format
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Goal #2: Demonstrate compliance
with Federal records management
statutes and regulations
• Role of Senior Agency Officials
• Accountability and training
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Short Term Action Items
NARA issues email guidance
NARA revises transfer guidance
NARA produces plan for automated management of electronic records
NARA issues cloud reporting requirements
NARA shall convene Senior Agency Official (SAO) meetings
NARA establishes a Community of Interest
NARA identifies RM analytical tool
OPM establishes RM occupational series
Agency Records Officers identify all unscheduled records, regardless of format
SAOs ensure permanent records identified for transfer and reported to NARA
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2019
• Federal agencies
manage all permanent
records electronically
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2016
• Agencies manage all email
records in electronic format
• SAOs ensure records
Schedules submitted to
NARA
• NARA completes
overhaul of GRS
2015
• NARA issues
improved Request for
Records Disposition
Authority process
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Email Guidance
NARA issues email guidance
Challenge: Issue new guidance that describes
methods for managing, disposing, and
transferring email for Federal agencies that
face great challenges in managing billions of
emails
Solution: The “Capstone” Bulletin issued
August 29, 2013
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Visualizing Capstone Accounts
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Capstone Benefits
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Reduces reliance on user-dependent policies
Optimizes access for information requests
Preserves permanent email records
Approach to manage legacy email accounts
Eases burden on end-user
Simplifies disposition
Reduces unauthorized destruction
Leverages existing technologies
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Ongoing Responsibilities
Schedule records
When using the
Prevent the unauthorized
destruction of records
Capstone approach,
agencies must
Ensure records are retrievable and
usable
continue to . . .
Consider whether email should be
filed with related records
Capture and maintain metadata
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More Capstone Information
http://www.archives.gov/records-mgmt/email-mgmt.htm
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Transfer Guidance
NARA revises transfer guidance
Challenge: Identify new transfer formats NARA
can accept for permanent electronic records
Solution: The “Transfer Formats” Bulletin
issued January 31, 2014
[6 file formats become 54 file formats]
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Goals for Revised Transfer Formats
• Provide direction to agencies on acceptable
transfer formats to balance preference for
open formats with agency business needs
• Expand the types of formats that NARA
accepts
• Acknowledge formats that are ubiquitous in
the market place
• Minimize need for agencies to transform
records prior to transfer
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File Format Categories
Computer
Aided Design
Digital Audio
Digital Moving
Images
Digital Still
Images
Geospatial
Presentation
Textual
Data
Structured
Data
Email
Digital
Photographs
Scanned
Text
Digital
Posters
Web records
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A Change in Approach
Identified formats that are
•Preferred
• Acceptable
• Acceptable for Imminent Transfer (sun-setting soon)
Preferred
Structured Data
Acceptable
Imminent Transfer
• ASCII Text
• Microsoft Excel
• CSV, Comma
Office Open XML
Separated Values
• Microsoft Excel 97
(RFC 4180)
Binary Document
• XML, Extensible
Format (xls)
Markup Language
• OpenDocument
Format Spreadsheet
(ODS)
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Example of Transfer Formats Tables
http://www.archives.
gov/recordsmgmt/policy/transfer
-guidancetables.html
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Social Media Guidance
Challenge: Develop new guidance for managing
social media records
Solution: The “Social Media” Bulletin issued
October 25, 2013
Results: High-level requirements and best practices
for capturing records created when Federal agencies
use social media
http://www.archives.gov/records-mgmt/bulletins/2014/2014-02.html
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RM Challenges with Social Media
• Articulate clear processes, policies, and
recordkeeping roles and responsibilities
• Areas to consider include:
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Identifying records
Defining ownership
Terms of service (TOS)
Communicating policies
Monitoring use and value
Monitoring changes to TOS
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Social Media Capture
Methods to capture social media records include:
– Using web crawling software
– Using web capture tools to capture content
– Using platform APIs
– Using RSS Feeds, aggregators, or manual methods
– Using tools built into some social media platforms
to export content
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Mobile Guidance
Posted 3 blogs on Records Express in March
2014
• Identifies benefits, risks
• Discusses possible records management
implications
• Considering guidance
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Records Management Job Series
OPM establish RM occupational series
Challenge: Create a specific
Federal job series for people
working in Federal records
management including records
officers, analysts, specialists and
others
Solution: Dec 31st, 2013 OPM
issued a draft occupational
flysheet. Ongoing conversations
about moving forward with the
skills needed for Records and
Information management
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Records Management Training
Agency Training by 2014
Challenge: Train all designated “Agency Records
Officers” in Federal agencies as well as inform all staff
in agencies of their records management
responsibilities
Solution: The “Training” Bulletin
issued December 4, 2013. Agency
Records Officers must receive the
NARA Certificate of Federal Records
Management Training
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Communities of Interest
NARA establishes a Community of Interest
Challenge: NARA will cooperate with Government-wide
councils to establish a Community of Interest (COI) that
brings together leaders from the information technology,
legal counsel, and records management communities to
solve specific records management challenges
Solution:
1. The Federal Records Officer Network (FRON)
2. The Electronic Records Management Automation
Working Group
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Federal Records Officers Network
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ERM Automated Working Group
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Automated Technologies
NARA produces plan for automated management of electronic records
Challenge: Produce a
comprehensive plan in
collaboration with
stakeholders to describe
suitable approaches for the
automated management of
email, social media, and
other types of digital record
content, including advanced
search techniques
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Automated Technologies
• Following the Sept 10, 2013 Industry Day, NARA
put out Request for Information
• Over 50 vendor responses on ERM Automation Wiki
• Available to anyone with .gov or .mil email account
on OMB MAX ERM Automation wiki
– https://max.omb.gov/community/x/5QlfJw
• Use them! They’re there for you.
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Automated Technologies
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Automated Technologies
• The information gathered, the responses, the working
group helped inform the report/plan
• Draft posted on Records Express March 10th
• Comments requested by April 25th
• Document consists of two parts
• Report: Outlines approaches to automation with
outcomes and risks
• Plan: Proposes exploring a variety of steps to make
those approaches more accessible and affordable for
agencies
http://blogs.archives.gov/records-express/files/2014/03/Automated-ElectronicRecords-Management-Report-and-Plan_3.6.14_finaldraft.pdf
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Automated Technologies
Report: Suitable approaches for automating ERM and
their outcomes, benefits, and risks.
• NARA Stance on DOD 5015.2
• Approaches to Automation
– No Automation
– Rule Based Automation
– Business Process and Workflow Automation
– Modular, Re-usable ERM Tools
– Autocategorization
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Automating Technologies
Plan: Acquiring Affordable Automated Solutions
A. Approved electronic records automation vendors on
a central procurement vehicle
B. Electronic Records Management Line of Business,
with one or several agencies offering their ERM
services to other agencies
C. Integrated workflow or rule-based electronic records
management in other Lines of Business
D. Modular records management components that can
be used in many infrastructures
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Contact Information
Updates on our progress can be found on the Records
Express blog at
http://blogs.archives.gov
/records-express/
General questions:
[email protected]
Presenter:
[email protected]
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Q&A
Conversations
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