1. National Archives and Records Administration 1 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

2. National Archives and Records Administration2 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

3. 3 Agenda n E-Records challenges today and into the future n E-Government Act responsibilities and requirements n New guidance and resources to assist agencies in meeting their e-records challenges

4. National Archives and Records Administration4 2006 CIO Survey n Asset and Risk Management u Conducted for the first time in July 2006 u Sent to 28 members of the CIO Council u 81% agree or strongly agree their agency’s RM program serves as a risk mitigation tool u 69% had attended a NARA presentation on records management u RM topic of highest interest is how to manage electronic records

5. National Archives and Records Administration5 Challenges Today What are the realities of today’s business environment? n Lack of agency processes supporting distributed RIM n Rapid technological obsolescence n Overwhelming volume n Difficulty assuring the authenticity, reliability, and integrity of records

6. National Archives and Records Administration6 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

7. National Archives and Records Administration7 Challenges Ahead Adapting to the current business environment requires: n A systematic approach to managing records n Coordinated records, information, and knowledge management strategies n An efficient RM program that is responsive to internal and external stakeholders and customers

8. National Archives and Records Administration8 Your Feedback n Do you agree with NARA’s assessment of the challenges you are facing now? n Do your agency IT and RM staffs work together effectively? n Do you agree with the conclusions of the 2006 CIO survey?

9. National Archives and Records Administration9 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

10. National Archives and Records Administration10 n Federal agencies are already required to: u Implement processes and procedures to manage electronic records in existing systems u Identify and schedule electronic records in electronic information systems u Transfer to NARA permanent electronic records from existing or legacy systems according to approved records schedules Implementing the E-Gov Act

11. National Archives and Records Administration11 Implementing the E-Gov Act n NARA Bulletin-2006-02, Implementing the E-Gov Act, December 15, 2005 u Reminds agencies of their responsibilities to identify, schedule, and transfer permanent records to NARA u Outlines the major pieces of existing NARA policy guidance related to electronic records management and the areas in which future policy will be made u 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

12. National Archives and Records Administration12 n By September 30, 2009, agencies must document that they are meeting their records responsibilities as outlined in section 5 of NARA Bulletin 2006-02 u For existing electronic records, agencies must have NARA-approved records schedules for all records in existing information systems u 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

13. National Archives and Records Administration13 Your Feedback n Were you aware of the E-Gov Act Section 207 records requirements? n Were you aware that NARA Bulletin 2006-02 provides guidance and resources for helping you meet these requirements? n Is your agency currently identifying and scheduling e-records to meet the September 2009 milestone?

14. National Archives and Records Administration14 Resources Selected resources to assist you include: n FEA Records Management Profile n Toolkit for Managing Electronic Records n Records management guidance, including web and related guidance n Records management training

15. National Archives and Records Administration15 The FEA Records Management Profile n Development of an RM Profile began as a response to a number of challenges Federal agencies face: u Agency RM procedures do not integrate people, policies, processes and technology well u Agency enterprise architectures (EA) do not systematically address RM requirements u Agency planning and execution of IT investments often overlooks the value of RM u Systems are often funded, designed and implemented without adequate thought about how those records will be managed over their entire life cycle

16. National Archives and Records Administration16 RM Profile and FEA Lines of Business

17. National Archives and Records Administration17 The RM Profile can help you… n Be proactive in identifying your records management requirements n Embed RM requirements in well-defined IT processes n Incorporate RM requirements at the right time and in the right place in your work processes n Identify and preserve the right records to ensure your agency programs are accountable to the public and other stakeholders n Build systematic, consistent approaches for implementing current and future RM requirements agency-wide

18. National Archives and Records Administration18 The RM Profile does not…. n Impose any new requirements on agency programs n 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 http://www.archives.gov/records- mgmt/bulletins/2006/2006-03.html

19. National Archives and Records Administration19 Toolkit for Managing Electronic Records n toolkit.archives.gov n Central Internet portal for sharing and obtaining proven guidance n Currently over 51 documents, interactive guidance products, web sites, etc. u Best practices u How to Guidance u Process models u Tips and techniques u Lessons learned u Presentations u Answers to FAQs

20. National Archives and Records Administration20 Web Management Guidance Guidance for Managing Web Records n Web site content records are Federal records per 44 U.S.C. 3101 n Central high level ‘framework’ document n Subsequent guidance in specific areas n Provides rationale for RM decisions surrounding web site content and operations records

21. National Archives and Records Administration21 Web Management Guidance n Basis for making RM decisions to support management control of web site u RM decisions based on risk assessment of agency web site operations (e.g., NIST Computer Security Act implementation guidance) u Determination of ‘unit of analysis’ for risk assessment F Web site in toto and manage all to highest level of risk F Web site compartmentalized according to unique ‘areas’ of differing risk

22. National Archives and Records Administration22 Related Web Guidance u Frequently Asked Questions about Instant Messaging u Implications of Recent Web Technologies for NARA Web Guidance u See these products and more at: http://www.archives.gov/records- mgmt/initiatives/erm-guidance.html

23. National Archives and Records Administration23 Other E-Records Guidance u Eight products either recently released or expected in FY 07: F Digital Audio/Video FAQ F BPA checklist F Practical Scheduling Tip Sheet F Status of Paper After Digitization F PDF/A Implementation Notes F CD Media Labeling Guidance F CD Media Maintenance Guidance F DRM Bulletin

24. National Archives and Records Administration24 n NARA has created a new records management training program n reflects new directions in Federal records management n ensures that NARA training is consistent in content and quality n fosters an improved level of professionalism in those managing Federal records NARA training program

25. National Archives and Records Administration25 NARA training program n Knowledge Areas: Records Management core courses : u Knowledge Area One - Records Management Overview u Knowledge Area Two - Creating and Maintaining Agency Business Information u Knowledge Area Three - Records Scheduling u Knowledge Area Four - Records Schedule Implementation u Knowledge Area Five - Asset and Risk Management u Knowledge Area Six - Records Management Program Development

26. National Archives and Records Administration26 n Free half-day Professional Courses: u Survival Guide for IT Professionals: Information Assurance and Records Management u The Case for Records Management: Issues for Federal Legal Counsel u Recordkeeping: A Program Manager's Survival Guide n Vital Records n Advanced Electronic Records Management n Disaster Planning and Recovery n Basic Electronic Records Management n Records Management for Everyone NARA training program

27. National Archives and Records Administration27 Your Feedback n Have you used NARA’s recent guidance? n Do NARA’s guidance products and tools meet your needs? n Are the available resources timely and relevant to your business? n Is NARA guidance issued at the appropriate level for your needs?

28. National Archives and Records Administration28 Concluding Remarks n NARA will continue to work with you on your e-records challenges n We are interested in continuing this dialogue with the RM and IT communities n Let us hear from you on how we can support your agency’s needs to improve operational efficiency and effectiveness Email us at: RM.Communications@nara.gov