1. Slide 1 August 31, 2004RACO West Afternoon Panel NARA & You Update on the ERPWG Mark Giguere, Lead IT (Policy & Planning) Office of Records Services – Washington D.C. National Archives & Records Administration

2. Slide 2 August 31, 2004RACO West Afternoon Panel EGov Act of 2002 EGovernment Act of 2002 (Public Law 107-347, 44 U.S.C. Ch. 36) into law on December 17, 2002. Via budget guidance, OMB can further drive the utilization, interoperability and security of IT investments to: –advocates a more citizen-focused approach to current government-wide IT policies and programs; –establishes an Office of Electronic Government in the Office of Management and Budget (OMB) to improve Federal management of information resources; –formalizes the establishment of a Chief Information Officers (CIO) Council; –permanently reauthorizes and amends agency information security requirements through the Federal Information Security Management Act (FISMA); –protects the confidentiality of certain types of data through the Confidential Information Protection and Statistical Efficiency Act (CIPSEA); and –supports activities that OMB and the executive branch are already pursuing under the President’s Management Agenda’s Expanding Electronic Government initiative.

3. Slide 3 August 31, 2004RACO West Afternoon Panel ICGI Section 207 of the Act requires the Director of the Office of Management and Budget (OMB) to establish the Interagency Committee on Government Information (ICGI). The ICGI was Pursuant to section 207 of the Act, the ICGI will: –consult with interested communities; –conduct studies and submit recommendations to the Director of OMB and the Archivist of the National Archives and Records Administration (NARA); and share effective practices for access to, dissemination of, and retention of Federal information.

4. Slide 4 August 31, 2004RACO West Afternoon Panel ICGI Executive Committee –Karen Hogan (co-chair) – Glenn Schlarman (co-chair) – Dan Costello/Kim Nelson (OMB) – Keith Thurston (GSA) – Lew Bellardo (NARA) – Bev Godwin (GSA)

5. Slide 5 August 31, 2004RACO West Afternoon Panel ICGI’s WG Categorization of Information (Christian) Web standards (Godwin) –Public Domain Directory –Web Content Standards Electronic Records Policy (Kurtz)

6. Slide 6 August 31, 2004RACO West Afternoon Panel ERPWG Goal: Develop recommendations and a timetable for implementation of those to the Archivist of the United States and the OMB Director for policies and procedures ensuring effective management of electronic records (Internet-based and otherwise).

7. Slide 7 August 31, 2004RACO West Afternoon Panel ERPWG Objectives Identify barriers to effective management of “Government information on the Internet and other electronic records”. Identify common characteristics of temporary and permanent records generated by lines of business [LOBs]/sub-functions of the FEA Business Reference Model [BRM] (v. 2). Identify interim, realistic and useful tools for the creation and management of these records. Identify longer term solutions compatible with the Electronic Records Archives. Develop recommendations for ICGI to present to the Director of OMB and the Archivist

8. Slide 8 August 31, 2004RACO West Afternoon Panel Where we’re at? BARRIERS REPORT –Gathered via substantial internal-to-Govt/external-to- Govt input –4 major barriers identified Records and information are not managed as agency business assets Records management is not viewed as critical to agency mission Marginal support for records management has led to a lack of training Records management and information technology disciplines are poorly integrated within –Public comment on report ended 8/1/04 –Identified barriers will feed ERPWG’s ultimate recommendations to OMB Director/Archivist

9. Slide 9 August 31, 2004RACO West Afternoon Panel Where we’re at (cont.) COMMON CHARACTERISTICS Identification of basal set of RM metadata for GII and OER 8 characteristics identified –Association to series, creator, date, date type, identifier, LOB code, restrictions/rights, title, vital records indicator Metadata being coordinated with CGI and Web standards WGs –Being made ISO 11179 (data dictionary standard)- compliant

10. Slide 10 August 31, 2004RACO West Afternoon Panel Where we’re at? (cont.) ERM Toolkit –Internet portal managed by NARA with ERPWG involvement –Initially, ERM guidance tools that are proven as useful in agencies or are planned or under development to meet an identified ERM need Best practices, guidance, process models, lessons learned, tips and techniques, policies, etc. –Metadata about tools collected, used to organize tools, share knowledge, provide user-friendly “views” –Process to allow future focus on identifying/adding tools Identify and evaluate tools, manage toolkit data, facilitate expansion –Project team approach multi-agency team to develop, establish and manage ERM toolkit in FY ‘05

11. Slide 11 August 31, 2004RACO West Afternoon Panel Where we’re at? (cont.) ERM Toolkit –Adopted from the proposed directions articulated in the ERPWG Barriers Report Toolkit will share tools proven to help agencies: –Manage records as business assets –Incorporate records management requirements in planning/re(design) of systems –Overcome marginal support for records management in agencies –Promote integration of RM and IT

12. Slide 12 August 31, 2004RACO West Afternoon Panel Where we’re at? (cont.) ERM Toolkit –ERM tools Documents, interactive guidance products, web sites, etc. –Best practices, guidance, process models, policies and directives, tips and techniques, training programs, lessons learned, speeches, presentations, etc. –Agency users General population, records officers/records management staff, CIOs, IT, business process owners/data owners, web content managers/web masters, legal staff –ERM activities Traditional records management activities Other agency activities - integrating records management –Enterprise architecture planning, security certification and accreditation, capital planning and investment control, systems development lifecycle

13. Slide 13 August 31, 2004RACO West Afternoon Panel Where we’re at? (cont.) ERM Toolkit –Internet portal managed and hosted by NARA with assistance of interagency group (e.g., ERPWG) –User-friendly, flexible, expandable, self-validating –Static versions to be created for promotion purposes –Linked from key “customer” web sites –Database populated with information about tools (i.e., metadata) used to organize and display tools –Tools summarized for ease of selection »Fixed views by User group, ERM activity »Search capability (metadata, full-text, combination) »Sort by metadata fields –Tools maintained in agencies - linked to toolkit, or contact information provided –Ongoing evaluation process for adding/removing tools –E-mail feedback mechanisms

14. Slide 14 August 31, 2004RACO West Afternoon Panel Where we’re at? (cont.) ERM Toolkit –Developed as a project during FY-05 Establish project team, tasks, milestones, project schedule Establish back-end processes and procedures that support future focus on identifying and adding tools. –Identifying tools –Evaluating and accepting tools –Describing and organizing tools –Maintaining tools –Managing user feedback, continuous improvement –Managing toolkit records Establish initial version of toolkit portal with a limited set of tools –Used to promote the toolkit and as an incentive for agencies to contribute tools

15. Slide 15 August 31, 2004RACO West Afternoon Panel Where we’re at? (cont.) ERM Toolkit –ICGI review –Agency review and comment – ICGI approval –Initiate ERM toolkit project

16. Slide 16 August 31, 2004RACO West Afternoon Panel Where we’re at (cont.) RECOMMENDATIONS TO OMB DIRECTOR/ARCHIVIST –Draft recommendations due to ICGI Sept 30 –Process begun on August 25 th –Will address a limited number of high impact recommendations to address identified barriers Including recommended timetable for adoption

17. Slide 17 August 31, 2004RACO West Afternoon Panel After that? Toolkit population Implementing ICGI recommendations