Year One of the Managing Government Records Directive Lisa Haralampus Federal Records Management Policy Section Head Office of the Chief Records Officer.

Year One of the Managing Government Records

DirectiveLisa Haralampus

Federal Records Management Policy Section HeadOffice of the Chief Records Officer

National Archives and Records Administration

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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

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Require electronic recordkeeping to ensure

transparency, efficiency, and accountability

Demonstrate compliance with Federal records management

statutes and regulations

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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SAOs ensure permanent records identified for transfer and reported to NARA

Agency Records Officers identify all unscheduled records, regardless of format

NARA revises transfer guidance

NARA issues cloud reporting requirements

NARA shall convene Senior Agency Official (SAO) meetings

OPM establishes RM occupational series

NARA produces plan for automated management of electronic records

NARA establishes a Community of Interest

NARA identifies RM analytical tool

Short Term Action Items

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NARA issues email guidance

• Agencies manage all email records in electronic format• SAOs ensure records Schedules submitted to NARA

• NARA completes overhaul of GRS

• Federal agencies manage all permanent records electronically

• NARA issues improved Request for Records Disposition Authority process

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2017

2015

2016

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2019

2018

2017

2016

2015

Email Guidance

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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

NARA issues email guidance

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Visualizing Capstone Accounts

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Capstone Benefits• 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

When using the Capstone approach, agencies must continue to . . .

Schedule records

Prevent the unauthorized destruction of records

Ensure records are retrievable and usable

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

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]

NARA revises transfer guidance

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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

Digital Photographs

Scanned Text

Digital Posters

Computer Aided Design

Digital Audio

Digital Moving Images

Digital Still Images

Geospatial

Presentation

Textual Data

Structured Data

Email Web records

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A Change in ApproachIdentified formats that are•Preferred•Acceptable•Acceptable for Imminent Transfer (sun-setting soon) Preferred Acceptable Imminent Transfer

Structured Data • ASCII Text• CSV, Comma

Separated Values (RFC 4180)

• XML, Extensible Markup Language

• OpenDocument Format Spreadsheet (ODS)

• Microsoft Excel Office Open XML

• Microsoft Excel 97 Binary Document Format (xls)

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Example of Transfer Formats Tables

http://www.archives.gov/records-mgmt/policy/transfer-guidance-tables.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: – Identifying records– Defining ownership– Terms of service (TOS)– Communicating policies– Monitoring use and value– Monitoring changes to TOS

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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

Social Media Capture

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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 SeriesOPM 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

Challenge: Train all designated “Agency Records Officers” in Federal agencies as well as inform all staff in agencies of their records management responsibilities

Agency Training by 2014

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 InterestNARA 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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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

Automated TechnologiesNARA produces plan for automated management of electronic records

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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-Electronic-Records-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 TechnologiesPlan: 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

Contact Information

Updates on our progress can be found on the Records Express blog athttp://blogs.archives.gov/records-express/

General questions: [email protected]

Presenter: [email protected]

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Q & AConversations