Office of the Chief Information Officer 1 Records Management & IT Management A Necessary Collaboration in Complying with DOE and A-130 Requirements

Office of the Chief Information Officer 2 OMB Circular A-130, Management of Federal Information Resources DOE Orders 200.1, Information Management Program DOE O 243.1, Records Management Program

Office of the Chief Information Officer 3 OMB Circular A-130  Established policy for the management of Federal information resources  Applies to all agencies in the Executive Branch

Office of the Chief Information Officer 4 DOE Orders 200.1, Information Management Program  Programs should implement business practices for the creation, collection, and use of information as a corporate resource  Order has been revised

Office of the Chief Information Officer 5 DOE O 243.1, Records Management Program  Sets forth requirements and responsibilities for implementing and maintaining a cost-effective records management program throughout DOE  Also revised

Office of the Chief Information Officer 6 Basic Considerations and Assumptions  Federal Government largest producer and collector of information in the U.S.  Government information is a valuable national resource  Public has right to access government information  Open exchange of scientific and technical information promotes scientific research  Must preserve and protect information

Office of the Chief Information Officer 7 Integrated Approach  Manage information throughout life cycle  Protect information from loss, misuse or unauthorized use  Create and preserve sufficient information to ensure accountability of agency programs and protect the rights and interests of the Government

Office of the Chief Information Officer 8 Incorporate RM Functions in Electronic Systems  Goes to the heart of A-130, DOE Orders and Federal Records Act  Consistent with the ERM E-Gov Initiative

Office of the Chief Information Officer 9 ERM E-GOV Initiative  NARA Produced Series of Guidance Documents  Coordinating the Evaluations of CPIC Proposals for ERM Evaluations  ERM Guidance on Methodology for Determining Agency-Unique Requirements  Guidance for Evaluating COTS ERM Applications

Office of the Chief Information Officer 10 ERM E-GOV Initiative  NARA Produced Series of Guidance Documents (con’t)  Guidance for Building an Effective Enterprise- Wide ERM Governance System  Guidance for Developing and Implementing an Enterprise-Wide ERM Proof of Concept Pilot  Recommended Practice: Analysis of Lessons Learned for Enterprise-Wide ERM Projects

Office of the Chief Information Officer 11 Lessons Learned (Planning)  Secure management endorsement and support  Align project with expectations  Commit to reengineering  Evaluate systems with respect to existing Enterprise Architecture  Make and stick to realistic schedules  Develop good communications plans  Contract directly with software vendors

Office of the Chief Information Officer 12 Lessons Learned (Implementation)  Develop role-specific training  Develop fully-functional modules  Minimize mapping data  Test for user acceptance  Integrate ERM with other systems

Office of the Chief Information Officer 13 Lessons Learned RM-Specific Duties  Simplify and standardize file plan  Ensure consistency of indexing  Consolidate electronic filing functions  Minimize mapping data  Ensure adequate RM reporting

Office of the Chief Information Officer 14 Avoid Barriers to ERM Implementation  Build RM responsibilities and standards into business work processes  Inventory systems and document processes  Ensure adequate staffing  Employ easy to use, well-tested systems  Educate users  Emphasize importance of RM to new hires

Office of the Chief Information Officer 15 A-130 and DOE Guidance  Ensure RM provides adequate and proper documentation  Ensure records can be accesses regardless of form  Obtain approval for records schedules  Provide training  Communicate, communicate, communicate

Office of the Chief Information Officer 16 Records Management Council  Established at the IM Conference  Members are RM professionals throughout DOE  RMC will help guide DOE RM Program  Near-term focus on:  ERM  COOP  Records Ownership Contact Clauses  Training, Education and Awareness

Office of the Chief Information Officer 17 Questions/Contacts  Points of Contact  Program Records Officials  Record Management Field Officers  CIO Website -  John E. Davenport, Sr., Esq. Departmental Records Officer