Concerning Electronic Records Management

What Does the Presidential Directive on Records Management Really Require?

2013-03-30T07:22:00.001-07:00

What Does the Presidential Directive on Records Management Really Require?

March 26, 2013 By Michael L. Miller, director, RIM Consulting, Array Information Technology

The August 2012 Presidential Directive on Managing Government Records is a major achievement for the federal records management community -- and it is the cornerstone for the long-awaited transition to electronic recordkeeping by federal agencies. But what does it really mean?

As a former federal records officer and former Director of the Modern Records Program of the National Archives and Records Administration (NARA), I have taken a keen interest in the directive, of which a large number of articles, blogs and columns have appeared about its implications. And I would like to bring my perspective as a federal records manager to the discussion.

My underlying message is that agencies can meet the directive’s targets if they carefully scope their response to its requirements and their agency goals, following a seven-year plan and bringing people, policy and process into the solution mix to supplement technology.

Here are 12 ideas agencies can use to leverage staff rather than money on not only electronic recordkeeping goals, but also other goals that are largely restatements of existing requirements.

1. Read the directive very carefully.

The directive's wording has been crafted very carefully -- and that applies to what is both said and not said. Part 1, Goal 1, for example, states that agencies “should commit immediately to the transition to a digital government.” Target 1.1, however, only requires agencies to manage all permanent electronic records in electronic format to the extent possible by 2019. In many agencies, especially smaller ones, there may not be many permanent records, so consult your records schedules, then review the Code of Federal Regulations to understand how NARA understands “manage.” Your challenges may be smaller than you envisioned.

2. Identify the problem(s) you are trying to solve.

The directive defines goals and targets; it leaves the means open. Obviously you want to meet the targets, but I’m sure there are numerous agency-specific records and information problems that could be addressed also. Continuing the example above, you are only required to manage your permanent records electronically, but you may choose to manage all of your records electronically because there is a well-defined business case for doing so, such as minimizing the number of records on hand to simplify e-Discovery responses, or maximizing document retention to support knowledge management. Electronic recordkeeping can address either, but your implementations would be different depending on your business case, hence the need to identify the specific problem(s) you wish to solve.

3. Determine what is a “good enough” records management solution.

Many federal records managers bristle at the thought of a “good enough” records management program – they want to have the best in the federal government. I would argue that they should focus on being the best for their agency – its mission, priorities and budget. That means being “good enough” to meet both internal and external requirements. For example, the records manager in a small agency may want a records management application, but given the limited number of permanent records, a more manual process might provide a “good enough” medium-term solution at lower cost.

4. Take a holistic view.

From a holistic perspective, you need to understand four major elements of the ecosystem in which records and other information assets are managed:

The records and other information assets your agency creates and maintains, their characteristics and requirements, the rewards and risks associated with their management, and available resources.
The needs and expectations of business process owners and staff who create agency records; the records program that provides RIM policy and services; and the information architecture which provides context and support for the records management.
Four agency components that can either facilitate records management or erect barriers: agency staff, agency culture, agency policies, and the existing and planned IT infrastructure.
External forces framing “good enough” records management including the regulatory framework (including the directive), and the expectations of the community, agency suppliers (e.g., contractors), and customers (e.g., the regulated community).

Transitioning to electronic recordkeeping will require an assessment of all ecosystem elements so an appropriate path can be chosen.

5. Take the long view.

The directive has very specific (and tight) timeframes, so use all of the time alloted. The email management target is the end of 2016 and the permanent records target is the end of 2019. Provided agencies start quickly, these targets allow time for project planning, evaluating the current situation, developing policy and training, budgeting to procure necessary technology, and gradually rolling out solutions.

Another reason for taking a longer view is that successful implementations of electronic recordkeeping are done in stages, often over several years.

6. Assemble your forces.

Records management doesn’t succeed on its own -- it needs supporters, allies and champions.

Supporters see the benefits from records management such as approved destruction of unneeded records and information products, or the ability to find needed records for audit or litigation.
Allies are other information managers who pursue similar information management goals.
Champions will represent the program at the senior level of the organization.

Your “forces” should be brought together participate in a Directive Response Team and serve as a steering council for the program and an advocacy group to promote its mission, products and budget requests.

7. Break the problem into manageable chunks.

The ecosystem review discussed above provides keys to understanding your records and how they can be managed successfully. Breaking the body of records into constituent parts allows agencies to apply appropriate management controls to important categories of records. Program staff are a necessary part of the process because they will only buy into an electronic recordkeeping solution if the records warrant the effort. The initial breakdown is by organization or function. And the easiest solution is to follow the approach used in your records retention schedules. Next identify major record groups – permanent records, records required by statute or regulation, records that document the agency’s statutory mission or are subject to audit or elicit public scrutiny, and so on. Then apply appropriate controls to each grouping.

8. Assess your records management staff.

A strong records manager is critical to meeting the directive’s goals. However, records managers currently vary greatly in experience, training and skill levels.

Records managers can fill one or more of these roles on the Directive Response Team:

Explaining federal recordkeeping to the team.
Translating NARA requirements into agency requirements.
Assisting in crafting policy and procedural solutions for electronic records management.
Assisting in crafting technology solutions.
Serving as a leader and/or champion for the records management solutions selected to address the directive’s goals.

To achieve success, all of these roles must be filled. Currently not all records managers have the requisite, experience, training and skills to participate effectively in transitioning to electronic recordkeeping. Agencies must assess whether their current records staff has the qualifications needed to play their role(s) in addressing the goals laid out in the directive. If not, agencies will need to upgrade their staff via training, hiring or contracting.

9. Assess your current policy and records schedules.

The biggest challenges in implementing electronic recordkeeping have stemmed from poor policy foundations, not technology. Most of those who are not part of the records management community (and even some of those who are) think records management policy is set in stone. It isn’t. Federal records management principles remain, but what they mean and how to implement them effectively is often radically different today.

The easiest way to simplify the management of all records – but especially electronic ones – is to clearly identify the records “containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency.” That is what agencies are required to create and preserve. An agency’s definition of record may be understood more broadly than that, but in most cases, records not required for “adequate and proper documentation” can be disposed of relatively quickly.

Records schedules often contribute to the problem. Many records schedules do not identify the specific documents needed as part of the “adequate and proper documentation.” When employees are in doubt, they tend to keep everything. Records schedules should identify specific records or categories of records to be included or excluded from the file.

The bottom line? Rrecords management policy and guidance must be simple and clear.

10. Managing permanent electronic records – manual, automated or a mix.

When most of us think of managing electronic records we think of an entirely automated solution – an electronic records management application (ERMA) engineered to accomplish specific tasks.

An alternative (but more manual) process would be making a specific individual or individuals responsible for electronic filing. In many agencies that is already the case with important records –records that need to be safe from change or deletion, filed so they can be located and preserved so they can be transferred to NARA as required by federal recordkeeping regulations. The only records that need to be managed to meet the directive mandate are the ones identified as permanent.

An ERMA is one solution that may be appropriate for your organization, but it is not required, and for smaller agencies with more simple record-keeping and tighter budgets, it may be overkill. The challenge is finding an acceptable balance between manual intervention and automation. How much are your employees able and/or willing to do to manage their records? The more they can do, the less expensive and complex the automation component.

11. Managing email – not all records are created equal.

We all can define a record; it’s tougher to get agreement on whether a specific email or document fits the definition. The actual question is not whether an email is a record, but whether it is necessary for “adequate and proper documentation of agency activities.” If it is, it definitely needs to be made part of an electronic recordkeeping system. If not, I would argue that it is part of a working file (which I do consider record material) to be maintained separately from the “adequate and proper documentation” file with its own retention.

Directive Target 1.2 requires managing emails in an “appropriate system . . . for as long as they are needed.” This allows agencies considerable latitude in determining retentions for things like working files, and NARA is working on a “tiered” approach to managing email that should simplify maintenance. The guidance is due out late in 2013.

12. Look for outside help.

Agencies aren’t in this alone. NARA has worked hard to collect and make available products developed by federal agencies that can be adapted for use in other agencies, and under part II of the directive, the agency and its partners will provide additional guidance and tools to assist records managers in responding to the directive.

Even more useful in many cases are the personal contacts that agency records officer can make attending NARA-sponsored training and events such as BRIDG meetings. In the D.C., metro area, there is a wide range of activities where federal records managers discuss common issues. Many federal records mangers who have good solutions don’t have the time to publish their ideas, but are available at in-town professional meetings, or one of the many local training seminars, many of which are free to federal employees. These provide excellent opportunities for learning and information sharing. Agencies should encourage their records managers, especially the less-experienced ones, to attend these activities.

The transition to electronic recordkeeping will benefit everyone – agencies, the regulated community, citizens and the government as a whole. It will make government more transparent and effective. The real transition isn’t from paper to electronic. It requires a change in how people do their jobs – and that is always difficult.

You may use or reference this story with attribution and a link to
http://www.govtech.com/e-government/What-Does-the-Presidential-Directive-on-Records-Management-Really-Require.html

Records management: A list of 7 resources and applications

2013-01-05T17:46:00.001-08:00

Records management: A list of 7 resources and applications

Electronic Discovery & Records Management - Tip of the Month: Cloud Computing and Data Privacy

2013-01-01T17:03:00.001-08:00

Electronic Discovery & Records Management - Tip of the Month: Cloud Computing and Data Privacy 28 December 2012 Mayer Brown Newsletter Scenario A multinational company is negotiating an agreement with a cloud computing provider to maintain and hold all of the company’s electronically stored information and data. The general counsel of the multinational company is concerned about data privacy and data protection both in the United States and worldwide. What is Cloud Computing? Cloud computing is the use of computing resources, including both hardware and software, that are made available over the Internet by a subscription-based service provider. Because cloud computing is Internet-based, it offers several advantages over more traditional access to a company’s data and software. Cloud-based software and files can be accessed “on demand” from virtually any computer with an Internet connection. For example, when email is stored “in the cloud,” the contents of a user’s email folders may actually be stored in one or more easily accessed Internet-connected servers located around the world. Moreover, because a company that receives cloud computing services does not rely on its own servers, the amount of data that can be stored is unlimited. Finally, because cloud computing services typically are managed by a third-party provider, they have the potential to reduce a company’s IT costs by eliminating the need to acquire and maintain expensive hardware and software. For all of the above reasons, many businesses are seeking to take advantage of this still-evolving technology. Potential Risks: Data Privacy, Data Storage, and E-Discovery Data privacy is an issue of concern for companies, their IT professionals and legal departments, whether files stay on-site or are stored electronically with a cloud computing provider. For companies considering cloud computing options, it is particularly important to carefully evaluate the provider’s policies and procedures to ensure that they provide sufficient safeguards to protect confidential data. The company’s lawyers and IT professionals should develop an understanding of the technology so that they can make informed decisions about whether cloud computing provides the level of protection they require. One specific risk is that electronically stored information (ESI) may be co-mingled with the ESI of another company or of a separate but related corporate entity. Such situations can make it difficult to determine what entity has “possession, custody, or control” of the data and is under an obligation to preserve or produce the data. Moreover, if a cloud computing provider stores data in multiple servers around the world, ESI may be split up among jurisdictions with different data protection and transfer laws, making it difficult to keep track of how to access and retrieve data, and how to keep data private and secure. ESI stored with a cloud computing provider can also present challenges to the discovery process in litigation. For example, the U.S. Federal Rules of Civil Procedure allow a party to request discovery of ESI in the responding party’s “possession, custody, or control.” If a company has contracted with a cloud computing provider to maintain and hold its ESI, the company does not have direct control over, or possession of, the ESI. For purposes of discovery, however, the company still has a duty to preserve and produce that data, as long as it has the practical ability to do so. Tips for Managing Risks The use of cloud computing should not fundamentally change the way a company handles ESI. No matter where the ESI resides, a company is responsible for being aware of the information that it creates and for governing that information in accordance with applicable business and legal requirements. It is important that the company be familiar with and closely monitor how its information is stored, retrieved, retained and disposed of by its cloud provider. A company should also develop effective procedures for auditing such activities by its cloud provider. At a minimum, the company should make sure it is capturing sufficient data when information is created (including what the information is, who created it, and for what purpose) to properly govern it. Before signing a service contract with a cloud computing provider, a company should be sure that the contract contains provisions protecting the company’s interests and its need to comply with data privacy requirements. Consider the following items when negotiating a service contract: Access: The company should have the right to access all ESI “on demand” and in a specified format that is easy to use. Control: The company should have the ability to reasonably direct actions of the provider to preserve and produce ESI. Cooperation: The provider should be willing to comply with the company’s directions regarding its ESI and to comply with any and all legal holds. Speed: The provider should agree to cease any data destruction in a timely manner and to produce data with sufficient speed to meet the company’s obligations. Metadata: The company should inquire as to the form or format in which data will be stored and returned for production during litigation, including whether metadata will be intact. Costs: Beyond the subscription price for the service, the contract should address the costs of potential production, as well as potential indemnification policies and attorneys’ fees should the cloud provider’s failure to comply with the contract terms result in liability for the company. Transparency: The contract should address confidentiality, data integrity and availability issues, including whether data will be commingled with the data of other cloud customers. Jurisdiction: The company should discuss with the provider where the data will be maintained and should consider whether production of the data might require compliance with data transfer laws or international privacy laws. Ownership: The contract should clearly state that the company owns the data. Security: The company should inquire about the security measures that the provider has in place to protect data privacy and attorney-client privilege and whether the company will be informed in the event of a security breach. Policies: The company should determine whether the provider’s policies and procedures could impede the company’s obligations to preserve, collect and produce ESI during litigation. Disaster Recovery: The company should have contingency plans in the event the provider was to suffer a server crash or other data loss or go bankrupt or out of business. The contract should stipulate that its provisions will remain in force if the provider is acquired by another company. The best way to manage the data privacy and security risks associated with cloud computing is to gain a comprehensive understanding of how the company plans to use cloud computing and to establish procedures and contract terms with the cloud computing provider that meet the company’s data security and privacy needs.

The FOIA Ombudsman » Government-wide Records Directive Addresses Electronic Records

2012-09-03T07:39:00.001-07:00

The FOIA Ombudsman » Government-wide Records Directive Addresses Electronic Records

Government-wide Records Directive Addresses Electronic Records

Good records management is key to ensuring government actions and decisionmaking is preserved for future FOIA requesters (among others).

By the end of the decade, Federal agencies must digitize management of electronic records—including the millions of emails sent and received each year—according to a new records directive introduced last week.

With a focus on a digital transition, the Managing Government Records Directive issued jointly by the Office of Management and Budget (OMB) and the National Archives and Records Administration (NARA), intends to improve records management policies and practices across the executive branch. Specifically, the August 24, 2012 directive establishes two broad goals coupled with specific steps for agencies to take to achieve those goals.

The first goal, to “Require Electronic Recordkeeping to Ensure Transparency, Efficiency, and Accountability,” sets a 2019 deadline for all agencies to electronically manage their permanent records , with a 2013 cutoff to come up with a plan to do so. It also requires agencies to manage all email electronically by 2016.

The second goal is to “Demonstrate Compliance with Federal Records Management Statutes and Regulations.” Agencies will designate a senior official to oversee review of the existing records management program, ensure records are properly transferred to NARA, establish agency-wide records management training and work with NARA to ensure comprehensive agency-wide records schedules.

Implementing these steps should lead to improved openness and accountability by better documenting agency actions, more effective transfer of permanently valuable records to NARA—OGIS’s parent agency—and cost savings through more efficient operations agency-wide, according to the directive.

The directive, ordered by President Barack Obama in his November 28, 2011 Memorandum on Managing Government Records, was a joint product of NARA and OMB. The Office of Personnel Management will work with NARA and OMB to carry out the stated goals, including establishing a new records management employment series requiring specialized skills and giving records managers a heightened role.

NARA will continue to play a major guiding role in carrying out all aspects of the directive. The agency will review related regulations to incorporate necessary changes to achieve the directive, issue new email guidance, explore cloud-based storage solutions and implement a government-wide analytical tool to assess agencies’ records management programs. The Archivist of the United States, David Ferriero, will convene and work with the senior officials from all 99 Federal departments and agencies to discuss progress and implementation of the directive each agency.

As the directive notes, “Records are the foundation of open government, supporting the principles of transparency, participation, and collaboration.” At OGIS, we couldn’t agree more. We look forward to working within NARA and with other Federal agencies to improve recordkeeping which we hope, in turn, will improve the FOIA process.

For more on the Directive, take a look at Records Express, the blog of our records management colleagues here at NARA.

Requirements and Best Practices Checklist

2012-06-19T17:58:00.001-07:00

Requirements and Best Practices Checklist http://www.howto.gov/web-content/requirements-and-best-practices/checklists/long http://www.howto.gov/web-content/requirements-and-best-practices/checklists/long

Requirements and Best Practices Checklist

The Federal Web Managers Council developed this “checklist” tohelp you assess how well your agency meets federal website requirements and follows government web best practices.

Click a topic below to skip to a specific section, or scroll down to see the entire list.

Requirements (Must do)

Best practices (Should do)

Required links/icons
Customer service
Search
Plain Writing Act
Accessibility/Section 508
Privacy
Identity management
Freedom of Information Act (FOIA)
Open government
Naming and branding
Prohibition on lobbying
Linking
Web records
Copyright
Paperwork Reduction Act (PRA)
Security
Information quality
Multilingual websites
No Fear Act
Government Paperwork Elimination Act (GPEA)
Government Performance Results Act (GPRA)
Small Business Paperwork Relief Act

Site policies page
Common content
Social media
Mobile
Managing content
Usability and design
Collaboration
Management and governance
Promote online services
Homepage link
Jobs
Grants
Regulations

Requirements

Required links/icons	Relevant law, regulation, or policy
Include all required links/icons on your site, in compliance with relevant guidance. Required links include, but are not limited to: privacy policy, FOIA info, USA.gov See full list of required links/icons	E-Government Act of 2002 (Sections 204 & 207) OMB Circular A-130, Management of Federal Information Resources OMB M-05-04, Policies for Federal Agency Public Websites (PDF, 48 KB, 5 pages, December 2004)

Customer service

Relevant law, regulation, or policy

Agencies must set service standards and use customer feedback to improve the customer experience. Agencies that provide significant services directly to the public are required to identify and survey their customers, establish service standards and track performance against those standards, and benchmark customer service performance against the best in business.

Guidance on implementing the Customer Service Executive Order

Executive Order 13571 - Streamlining Service Delivery and Improving Customer Service (April 2011)

OMB M-11-24, Implementing Executive Order 13571 on Streamlining Service Delivery and Improving Customer Service (PDF, 2 MB, 6 pages, June 2011)

Search	Relevant law, regulation, or policy
Ensure your website includes a search function, to help the public easily locate government information. Follow industry standard best practices to ensure your search function is as effective as possible. Write content in Plain Language, using the words of your customers, so they can easily find what they need when searching the web or your website How to implement effective search functionality	OMB M-05-04, Policies for Federal Agency Public Websites (PDF, 48 KB, 5 pages, December 2004) Plain Writing Act of 2010 (PDF, 153 KB, 3 pages, January 2010) Section 207(f) of the E-Gov Act of 2002

Plain Writing Act	Relevant law, regulation, or policy
Requires the federal government [executive branch] to write all new publications, forms and publicly distributed documents in a “clear, concise, well-organized” manner. Guidance on implementing the Plain Writing Act	Plain Writing Act of 2010 (PDF, 153 KB, 3 pages, January 2010) Executive Orders 12866 and 12988 OMB Final Guidance on Implementing the Plain Writing Act of 2010 (PDF, 269 KB, 6 pages, April 2011)

Accessibility/Section 508	Relevant law, regulation, or policy
Make online information and services fully available to individuals with disabilities; Conduct accessibility testing when making significant changes to your site, or before launching a new site Designing sites to work well on mobile devices usually also improves overall accessibility Make your website accessible	Section 508 of the Rehabilitation Act of 1973(29 U.S.C. 794d) Implementing Section 508 (Section508.gov)

Privacy

Relevant law, regulation, or policy

Provide a link to your privacy policy on every page (can be included in your overall site policies); Conduct a privacy impact assessment of your website; Post a “Privacy Act Statement” that explains your legal authority for collecting personal data and how the data will be used; Translate privacy policies into a standardized machine-readable format

Be aware of and comply with all other existing laws and directives that address the need to protect the privacy of the American people when they interact with their government online

Guidance on privacy requirements

Privacy Act of 1974

OMB M-03–22, Guidance for Implementing the Privacy Provisions of the E–Government Act of 2002 (September 2003)

OMB M-10-22, Guidance for Online Use of Web Measurement and Customization Technologies(PDF, 130 KB, 9 pages, June 2010)

OMB M-10-23, Guidance for Agency Use of Third-Party Websites and Applications (PDF, 78 KB, 9 pages, June 2010)

OMB Circular A–130, App 1

Children's Online Privacy Protection Act of 1998 (COPPA)

Identity Management	Relevant law, regulation, or policy
Allow the public and business partners to register or log on to Assurance Level 1 systems using externally-issued credentials Guidance on privacy requirements Guidance on security protocols to protect information	Requirements for Accepting Externally-Issued Identity Credentials - memo from Federal CIO to Executive Branch Agency CIOs (PDF, 166 KB, 4 pages, October 2011)

FOIA	Relevant law, regulation, or policy
Your website must have a page that includes certain content as required by the Freedom of Information Act (FOIA) How to implement FOIA requirements	Freedom of Information Act (FOIA) (PDF, 109 KB, 13 pages, April 2007) FOIA.gov

Open Government Directive	Relevant law, regulation, or policy
In the spirit of transparency, participation and collaboration, agencies are directed to: Publish government information online; Improve the quality of government information; Create and institutionalize a culture of open government; and Create an enabling policy framework for open government More about the Open Government Directive	Open Government Initiative OMB M-10-06, Open Government Directive(PDF, 81 KB, 11 pages, December 2009) Data.gov data policy Using social media in government

Naming and branding	Relevant law, regulation, or policy
Host the website on a .gov, .fed.us, or .mil domain; Clearly display the name of your agency on every page on the website Guidance on naming and branding your website	OMB M-05-04, Policies for Federal Agency Public Websites (PDF, 48 KB, 5 pages, December 2004) .GOV Internet Program Guidelines

Prohibition on lobbying	Relevant law, regulation, or policy
Consult your agency’s legal staff for guidance to ensure that your site does not advertise for, or provide preferential treatment to, private individuals, firms, or corporations. Follow the "rule of 3" - when linking to non-government information, show at least three similar examples, to avoid the appearance of endorsing a single source, service or product Guidance on lobbying restrictions	Prohibition of Lobbying (Title 18, Section 1913, U.S. Code)

Linking

Relevant law, regulation, or policy

Publish your policy describing how and why you link to other websites, including criteria or guidelines for how your agency selects links to non-federal websites;
Publish and follow a schedule for reviewing the appropriateness and relevancy of external links

Notify visitors when a link on your website will take them to a non-federal-government website, include a disclaimer about content and privacy policies; Refrain from disclaiming content when linking to other federal sites, since to the public, all agencies are part of “the government”

Guidance on linking policies

OMB M-05-04, Policies for Federal Agency Public Websites (PDF, 48 KB, 5 pages, December 2004)

OMB Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002(Section 3D)

Web records

Relevant law, regulation, or policy

Comply with existing laws and regulations related to the management of public web records.

Create an inventory of content that targeted audiences need or want. Identify categories of information (e.g., press releases or publications), not specific documents. Post the inventory, priorities, and schedule for posting additional content on the website for comment.

Regularly delete or archive content that is obsolete and is not required by law or regulation.

More guidance on web records

E-Government Act of 2002 (Section 207)

Code of Federal Regulations (CFR), Parts 1220-1238

NARA guidance for implementing Section 207(e) of the E-Gov Act

NARA guidance on managing web records

NARA guidance on managing social media records (October 2010)

Copyright

Relevant law, regulation, or policy

Inform the public about your policies on digital rights, copyrights, trademarks, and patents. If your organization uses or duplicates private sector information, ensure that the property rights of the private sector source are adequately protected. (These protections apply to any material posted to federal public websites, such as documents, graphics, or audio files.)

Additional guidance on copyright and digital rights

Digital Millennium Copyright Act (PDF, 277.66 KB, 60 pgs, January 1999)

U.S. Trademark Law (PDF, 1.48 MB, 260 pgs, March 2010)

U.S. Patent Law, U.S. Code 35, Chapter 26

Paperwork Reduction Act

Relevant law, regulation, or policy

Ensure that information collected from the public minimizes burden and maximizes public utility. Your agency must have OMB approval before collecting information from the public (surveys, forms, etc.), and you much include the OMB control number on the collection. Take advantage of OMB's Fast-Track PRA Review Process to help you collect information in a timely manner

Paperwork Reduction Act (PRA) Guidance

Paperwork Reduction Act (44 U.S.C. 3501 et seq.)

Executive Order 13571 - Streamlining Service Delivery and Improving Customer Service (April 2011)

OMB M-11-26, New Fast-Track Process for Collecting Service Delivery Feedback Under the Paperwork Reduction Act (PDF, 196 KB, 4 pages, June 2011)

Social Media, Web-Based Interactive Technologies, and the Paperwork Reduction Act (PDF, 83 KB, 7 pages, April 2010)

Security	Relevant law, regulation, or policy
Organizations are required to have security protocols in place to protect government information. Provide general information to the public about your security protocols to protect information on your website. Guidance on security protocols to protect information	E-Government Act of 2002 (Section 207) Guidelines on Securing Public Web Servers (Source: NIST; PDF, 2.13 MB, 142 pages, Sept 2002)

Information quality	Relevant law, regulation, or policy
Your site must comply with section 515 of the Treasury and General Government Appropriations Act for Fiscal Year 2001, Public Law 106-554, to ensure the information you present on your website is current, accurate and authoritative Guidance on keeping content current	Public Law 106-554, Guidelines for Ensuring and Maximizing the Quality Objectivity, Utility, and Integrity of Information Disseminated by Federal Organizations (PDF, 161 KB, 10 pages, February 2002)

Multilingual websites	Relevant law, regulation, or policy
Comply with the requirements of Executive Order 13166, “Improving Access to Services for People with Limited English Proficiency,” based on Title VI of the Civil Rights Act of 1964, which bans discrimination on the basis of national origin. Guidance on managing multilingual websites	Executive Order 13166, Improving Access to Services for People with Limited English Proficiency (PDF, 6 pages, 255 KB,August 2000) Dept. of Justice Memo Reaffirming the Mandates of EO 13166 (PDF, February 2011) Federal Agency LEP Guidance (Dept. of Justice)

No Fear Act	Relevant law, regulation, or policy
Provide a link to information required by the “No Fear Act.” The Federal Web Managers Council recommends that agencies determine the most appropriate placement for this link based on their audience (e.g., “About Us” or “Jobs” page) How to implement No Fear Act requirements	No Fear Act Notification and Federal Employee Anti–Discrimination and Retaliation of 2002 (No Fear Act) Public Law No. 107–174

GPEA	Relevant law, regulation, or policy
The Government Paperwork Elimination Act requires that, when practicable, federal organizations use electronic forms, electronic filing, and electronic signatures to conduct official business with the public, by 2003. Put as many of your services online as you can Guidance on complying with the GPEA	Government Paperwork Elimination Act (GPEA)

GPRA	Relevant law, regulation, or policy
The Government Performance Results Act of 2003 requires organizations to make their annual performance plans readily available to the public. Guidance on complying with the GPRA	Government Performance Results Act of 1993 Open Government Initiative

Small Business Paperwork Relief Act	Relevant law, regulation, or policy
Designate a single point of contact for small businesses, and to post the contact information on the organization’s website. Guidance on complying with the Small Business Paperwork Relief Act	Small Business Paperwork Relief Act of 2002

Best Practices

Site policies page	Guidance
Create a page entitled “Site Policies” that includes links to required information and important policies.	Posting website policies

Common content	Guidance
Include the same types of “common content” found on most federal websites (such as contact information and basic information about your agency). Use terminology consistent with other agencies, and within your agency. Write content using the words of your customers.	Common Content, Terminology and Placement Includes "About Us" and "Contact Us" pages, as well as a Site Map or A-Z Index

Social Media	Guidance
Engage with the public via social media.	Using social media in government

Mobile	Guidance
Design your site with mobile users in mind, and test your site on mobile browsers to ensure the public can access your information on the go.	Deliver content to mobile devices

Managing content	Guidance
Regularly review your content (at least annually, and more often for popular content), and update or archive as appropriate. Ensure content is written for the web, using words familiar to the intended audience, so people can easily find what they need (usually via search), and understand what they need to do	Keep content current Write in Plain Language

Usability and Design

Guidance

Follow the “Research-based Web Design and Usability Guidelines” published by the Department of Health and Human Services

Do regular user testing on your site with real customers, to ensure they can easily and successfully complete their tasks. Design and develop your site for a broad range of visitors and browsers, including mobile devices and those with lower-end hardware and software capabilities

Implement a coherent information architecture (IA) and navigation scheme (including common labels), and use it consistently throughout your site

Research–based web design and usability guidelines (Usability.gov)

First Fridays Product Testing Program

Design templates

Information architecture

Design with mobile in mind

Collaboration

Guidance

Collaborate both within your agency and across government to link to the official source for information. Avoid creating duplicate content - stay in your “content lane.”

Collaborate internally, to make sure all content across your site describes programs, etc. in the same way. Post “program descriptions” in one central place and link there, instead of reposting the same description in several places.

Consult with the Federal Web Managers Council before creating a new portal site.

Don’t duplicate existing content

Cross-agency portals

Example of “content lanes” used during Hurricane Katrina response

Management and governance

Guidance

Document and enforce your agency’s web content policies, procedures and style guide.

Regulary (at least annually) review and improve your site policies and procedures, in accordance with the latest government requirements and industry best practices for managing websites and content.

Develop and test procedures and continengency plans to keep your website running during an emergency, or take your website offline.

Developing policies and procedures

Federal Web Managers Governance Sub-Council

Ensure Continuity of Operations During Emergencies

Analytics	Guidance
Collect metrics on: customer focus and experience; quality and compliance; and recognition, in accordance with privacy and other policies. Make changes to your website based on data, not opinion or "executive whimsy"	Web Analytics Privacy Requirements Federal Web Managers Metrics Sub-Council

Promote online services

Guidance

Offer easy access to online services, displaying them as prominently as possible, to help the public interact with the government on their terms, and serve themselves at their convenience.

Identify the most commonly requested and commonly used online services, forms and publications on your website and make sure can be easily found

Allow the public to print forms, and also complete and submit them online; provide instructions on how to order forms or publications if they can’t be accessed online

Best practices for online services

Focus on top tasks

Forms and publications guidance

Homepage link	Guidance
Every page on your site should have a text link back to your homepage (if you use a graphical link, you must also provide a text link).	Linking back to your homepage

Jobs	Guidance
Offer information about jobs or careers at your agency, even if you are a small agency or your site is managed by multiple agencies.	Posting jobs and employment information

Grants	Guidance
Provide information about grant and contracting opportunities on your website. Link to grants.gov and any other federal portal(s) related to grants Link to fedbizopps.gov and any other federal portal(s) related to contracts.	Posting information about grants and contracts The President’s Management Agenda of 2001 made this a priority (PDF, 633 KB, 64 pages, August 2001)

Regulations	Guidance
Provide information about regulations, notices and rules: FederalRegister.gov Regulations.gov	Posting information about regulations

Content Lead: Rachel Flagg

National Archives Open Government Plan

2012-06-15T18:24:00.001-07:00

National Archives Open Government Plan

National Archives and Records Administration agenda for 2012-2014 | SpittalStreet.com

2012-06-15T18:21:00.001-07:00

National Archives and Records Administration agenda for 2012-2014 | SpittalStreet.com

Electronic Records Management-Converting to paper!

2012-05-28T12:10:00.000-07:00

Uploaded on SlideServe by nili | Upload your own presentation

Electronic Records - Strategies and Methods for Managing Their Life Cycle

2012-05-28T06:24:00.000-07:00

On The Record | Records Management Blog

2012-05-27T17:51:00.001-07:00

On The Record | Records Management Blog

Agencies continue to struggle with records management - FederalNewsRadio.com

2012-05-04T19:28:00.001-07:00

Agencies continue to struggle with records management - FederalNewsRadio.com

NARA Report Shows Little Progress In Protecting Government Records From Improper Destruction | CREW | Citizens for Responsibility and Ethics in Washington

2012-05-04T13:04:00.001-07:00

NARA Report Shows Little Progress In Protecting Government Records From Improper Destruction | CREW | Citizens for Responsibility and Ethics in Washington

May 02, 2012

By CREW Staff

Federal Agencies, National Archives and Records Administration (NARA), Transparency

The federal government made little progress last year in improving records management, according to a new report from the National Archives and Records Administration (NARA) based on yearly agency self-assessments. In 2011, the records at 90 percent of federal agencies were at high or moderate risk of being improperly destroyed, down slightly from the 95 percent in the 2010 report. Federal government records are backbone of transparency and accountability, but the vast majority of them remain at risk.

Some agencies are simply abysmal at records management. The worst two, with a score of only 3 out of 100 possible points, were the Postal Regulatory Commission and the Marine Mammal Commission. On the other hand, the Department of the Interior’s Office of Surface Mining Reclamation and Enforcement was the top agency with a score of 99, followed by a 98 score for two other Interior agencies, the Bureau of Indian Affairs and the Office fo the Special Trustee for American Indians.

Read the 2011 Records Management Self-Assessment Report

Managing email and other electronic records continues to be a serious problem, including a lack of understanding of electronic records by agency officials. Over 80 percent of agencies still use "print and file" as one of their methods for preserving email, with another 49 percent using backup tapes. Only 19 percent used using an electronic records management system or records management application to capture email. In addition, many agency respondents did not know or understand key terms related to electronic records. Agencies also increasingly use social media and cloud computing, but most have not developed policies for managing records in these environments.

The new report comes in the middle of a push by the White House to institute better records management throughout the federal government. Last November, President Obama issued a presidential memo on managing government records requiring all agencies to provide NARA reports describing their plans improving their records management programs, especially electronic records. Those reports were submitted in March, and NARA and OMB are now working on a Records Management Directive that will direct agencies to take specific steps to reform and improve records management policies and practices.

CREW again applauds the White House for taking this important step, and NARA for its continued commitment to records management. At this point, however, the bottom line remains the same. The government’s continued failure to comply with its record keeping obligations leaves the public with a massive gap in our historical record and jeopardizes public accountability. The new report again shows this shameful neglect and underscores the need for focused attention on this critical issue.

Agencies having difficulties managing electronic records -- Federal Computer Week

2012-05-01T18:32:00.001-07:00

Agencies having difficulties managing electronic records -- Federal Computer Week

How Document Scanning and Records Management Help Organizations

2012-04-29T16:59:00.001-07:00

In the age of information technology, it is now very easy for business organizations to store and secure their records and docmumetns in the form of digital and electronic files. However, since there is a significant amoutn of documents that need filing, storing, and securing, it can be very overwhelming and time consuming for organizations to properly manage this amoutn of information and data. As a result, there may be some records that will be lost and in worst cases, some information is leaked and stolen. It is definitely alarming that sensitive and private information regarding the company are disclosed to competitors and other organizations. For this reason, it is vital for every company to have a proper recorods and document scanning and management process.

Records management procedure is a very critical part of any business organization process. This process keeps track of relevant and essential information that can smooth operations in a company. If an organization does not have this procedure they might suffer from data loss and other severe consequences. For example, data can easily arise form situations wherein the file is accidentally deleted, or when a wrong folder is shredded, or if someone steals sensitive data and information. Having a proper record management system and procedure can help manage the classification, archiving, storage, and destruction of company documents and records thus it can prevent costly and damaging consequences.

However, if the company cannot afford to focus on their record management process, they will need to seek the services of a record management company. Record management companies can offer excellent services such as document storage, scanning, and secure shredding.. With the help of a reputable and credible record management company, the company can easily store, collect, retrieve, and destroy documents. They can also organize, file, and manage their electronic files since a record management company can offer them with a reliable record management system.

Effective document scanning and management can help the company in their road to success. This is possible since it allows the company to easily collect business statistics and information that can lead to better decision making. This process can also enhance the security of the company’s records and documents thus it prevents the data from getting into the wrong hands. Proper record management procedure can also prevent data loss thus avoiding disastrous situations. This process can definitely improve the performance of the business estabishment.

Getting to the Big Data Problem

2012-03-25T18:07:00.001-07:00

From Word of Pie by Pie

The amount of data in your organization is big. You just won’t believe how vastly, hugely, mind- bogglingly big it is. I mean you might think that it take a long time to read your inbox but that’s just peanuts to how much your organization touches in a single day.

- Mangling of quote by Douglas Adams in Hitchhiker’s Guide to the Galaxy

The amount of data in your organization is massive. Anyone who has been in the Content Management industry for more than a few years can tell you that much. All those content repositories are nothing more than messy, poorly structured, data warehouses.
The part that I didn’t realize until watching Clay Shirky’s keynote at AIIM 2012 was that the amount of data that many organizations is amassing isn’t always enough. Many organizations just are dealing with what I will now shockingly classify as “traditional” Big Data issue. They don’t have the volume, variability, variety, or velocity of data. (Your actual “V”s may vary)
This is actually an even bigger problem. All those organizations are leaving useful insights on the table. How can tell what my customers, employees , or members need without actually tracking what they are doing?
Let’s talk about you, the reader. If you are reading this, you are likely an Information Professional and the kind of person that AIIM wants to help become better at solving all these information challenges.

e-CFR Data for electronic records management

2012-03-04T16:26:00.000-08:00

e-CFR Data is current as of March 1, 2012 Return to search results Amendment from October 02, 2009 PART 1236—ELECTRONIC RECORDS MANAGEMENT Section Contents § 1236.1 What are the authorities for part 1236? § 1236.2 What definitions apply to this part? § 1236.4 What standards are used as guidance for this part? § 1236.6 What are agency responsibilities for electronic records management? § 1236.10 What records management controls must agencies establish for records in electronic information systems? § 1236.12 What other records management and preservation considerations must be incorporated into the design, development, and implementation of electronic information systems? § 1236.14 What must agencies do to protect records against technological obsolescence? § 1236.20 What are appropriate recordkeeping systems for electronic records? § 1236.22 What are the additional requirements for managing electronic mail records? § 1236.24 What are the additional requirements for managing unstructured electronic records? § 1236.26 What actions must agencies take to maintain electronic information systems? § 1236.28 What additional requirements apply to the selection and maintenance of electronic records storage media for permanent records? Subpart A—GeneralSec.1236.1What are the authorities for part 1236?1236.2What definitions apply to this part?1236.4What standards are used as guidance for this part?1236.6What are agency responsibilities for electronic records management?Subpart B—Records Management and Preservation Considerations for Designing and Implementing Electronic Information Systems1236.10What records management controls must agencies establish for records in electronic information systems?1236.12What other records management and preservation considerations must be incorporated into the design, development, and implementation of electronic information systems?1236.14What must agencies do to protect records against technological obsolescence?Subpart C—Additional Requirements for Electronic Records1236.20What are appropriate recordkeeping systems for electronic records?1236.22What are the additional requirements for managing electronic mail records?1236.24What are the additional requirements for managing unstructured electronic records?1236.26What actions must agencies take to maintain electronic information systems?1236.28What additional requirements apply to the selection and maintenance of electronic records storage media for permanent records? Authority: 44 U.S.C. 2904, 3101, 3102, and 3105. Subpart A—General § 1236.1 What are the authorities for part 1236? top The statutory authority for this part is 44 U.S.C. 2904, 3101, 3102, and 3105. OMB Circular A–130, Management of Federal Information Resources, applies to records and information systems containing records. § 1236.2 What definitions apply to this part? top (a) See §1220.18 of this subchapter for definitions of terms used throughout Subchapter B, including part 1236. (b) As used in part 1236— Electronic information systemmeans an information system that contains and provides access to computerized Federal records and other information. Electronic mail systemmeans a computer application used to create, receive, and transmit messages and other documents. Excluded from this definition are file transfer utilities (software that transmits files between users but does not retain any transmission data), data systems used to collect and process data that have been organized into data files or data bases on either personal computers or mainframe computers, and word processing documents not transmitted on an e-mail system. Metadataconsists of preserved contextual information describing the history, tracking, and/or management of an electronic document. Unstructured electronic recordsmeans records created using office automation applications such as electronic mail and other messaging applications, word processing, or presentation software. § 1236.4 What standards are used as guidance for this part? top These regulations conform with ISO 15489–1:2001. Paragraph 9.6 (Storage and handling) is relevant to this part. § 1236.6 What are agency responsibilities for electronic records management? top Agencies must: (a) Incorporate management of electronic records into the records management activities required by parts 1220–1235 of this subchapter; (b) Integrate records management and preservation considerations into the design, development, enhancement, and implementation of electronic information systems in accordance with subpart B of this part; and (c) Appropriately manage electronic records in accordance with subpart C of this part. Subpart B—Records Management and Preservation Considerations for Designing and Implementing Electronic Information Systems § 1236.10 What records management controls must agencies establish for records in electronic information systems? top The following types of records management controls are needed to ensure that Federal records in electronic information systems can provide adequate and proper documentation of agency business for as long as the information is needed. Agencies must incorporate controls into the electronic information system or integrate them into a recordkeeping system that is external to the information system itself (see §1236.20 of this part). (a)Reliability:Controls to ensure a full and accurate representation of the transactions, activities or facts to which they attest and can be depended upon in the course of subsequent transactions or activities. (b)Authenticity:Controls to protect against unauthorized addition, deletion, alteration, use, and concealment. (c)Integrity:Controls, such as audit trails, to ensure records are complete and unaltered. (d)Usability:Mechanisms to ensure records can be located, retrieved, presented, and interpreted. (e)Content:Mechanisms to preserve the information contained within the record itself that was produced by the creator of the record; (f)Context:Mechanisms to implement cross-references to related records that show the organizational, functional, and operational circumstances about the record, which will vary depending upon the business, legal, and regulatory requirements of the business activity; and (g) Structure: controls to ensure the maintenance of the physical and logical format of the records and the relationships between the data elements. § 1236.12 What other records management and preservation considerations must be incorporated into the design, development, and implementation of electronic information systems? top As part of the capital planning and systems development life cycle processes, agencies must ensure: (a) That records management controls (see §1236.10) are planned and implemented in the system; (b) That all records in the system will be retrievable and usable for as long as needed to conduct agency business (i.e., for their NARA-approved retention period). Where the records will need to be retained beyond the planned life of the system, agencies must plan and budget for the migration of records and their associated metadata to new storage media or formats in order to avoid loss due to media decay or technology obsolescence. (See §1236.14.) (c) The transfer of permanent records to NARA in accordance with part 1235 of this subchapter. (d) Provision of a standard interchange format (e.g., ASCII or XML) when needed to permit the exchange of electronic documents between offices using different software or operating systems. § 1236.14 What must agencies do to protect records against technological obsolescence? top Agencies must design and implement migration strategies to counteract hardware and software dependencies of electronic records whenever the records must be maintained and used beyond the life of the information system in which the records are originally created or captured. To successfully protect records against technological obsolescence, agencies must: (a) Determine if the NARA-approved retention period for the records will be longer than the life of the system where they are currently stored. If so, plan for the migration of the records to a new system before the current system is retired. (b) Carry out upgrades of hardware and software in such a way as to retain the functionality and integrity of the electronic records created in them. Retention of record functionality and integrity requires: (1) Retaining the records in a usable format until their authorized disposition date. Where migration includes conversion of records, ensure that the authorized disposition of the records can be implemented after conversion; (2) Any necessary conversion of storage media to provide compatibility with current hardware and software; and (3) Maintaining a link between records and their metadata through conversion or migration, including capture of all relevant associated metadata at the point of migration (for both the records and the migration process). (c) Ensure that migration strategies address non-active electronic records that are stored off-line. Subpart C—Additional Requirements for Electronic Records § 1236.20 What are appropriate recordkeeping systems for electronic records? top (a)General. Agencies must use electronic or paper recordkeeping systems or a combination of those systems, depending on their business needs, for managing their records. Transitory e-mail may be managed as specified in §1236.22(c). (b)Electronic recordkeeping. Recordkeeping functionality may be built into the electronic information system or records can be transferred to an electronic recordkeeping repository, such as a DoD–5015.2 STD-certified product. The following functionalities are necessary for electronic recordkeeping: (1)Declare records. Assign unique identifiers to records. (2)Capture records. Import records from other sources, manually enter records into the system, or link records to other systems. (3)Organize records. Associate with an approved records schedule and disposition instruction. (4)Maintain records security. Prevent the unauthorized access, modification, or deletion of declared records, and ensure that appropriate audit trails are in place to track use of the records. (5)Manage access and retrieval. Establish the appropriate rights for users to access the records and facilitate the search and retrieval of records. (6)Preserve records. Ensure that all records in the system are retrievable and usable for as long as needed to conduct agency business and to meet NARA-approved dispositions. Agencies must develop procedures to enable the migration of records and their associated metadata to new storage media or formats in order to avoid loss due to media decay or technology obsolescence. (7)Execute disposition.Identify and effect the transfer of permanent records to NARA based on approved records schedules. Identify and delete temporary records that are eligible for disposal. Apply records hold or freeze on disposition when required. (c)Backup systems.System and file backup processes and media do not provide the appropriate recordkeeping functionalities and must not be used as the agency electronic recordkeeping system. § 1236.22 What are the additional requirements for managing electronic mail records? top (a) Agencies must issue instructions to staff on the following retention and management requirements for electronic mail records: (1) The names of sender and all addressee(s) and date the message was sent must be preserved for each electronic mail record in order for the context of the message to be understood. The agency may determine that other metadata is needed to meet agency business needs,e.g.,receipt information. (2) Attachments to electronic mail messages that are an integral part of the record must be preserved as part of the electronic mail record or linked to the electronic mail record with other related records. (3) If the electronic mail system identifies users by codes or nicknames or identifies addressees only by the name of a distribution list, retain the intelligent or full names on directories or distributions lists to ensure identification of the sender and addressee(s) of messages that are records. (4) Some e-mail systems provide calendars and task lists for users. These may meet the definition of Federal record. Calendars that meet the definition of Federal records are to be managed in accordance with the provisions of GRS 23, Item 5. (5) Draft documents that are circulated on electronic mail systems may be records if they meet the criteria specified in 36 CFR 1222.10(b) of this subchapter. (b) Agencies that allow employees to send and receive official electronic mail messages using a system not operated by the agency must ensure that Federal records sent or received on such systems are preserved in the appropriate agency recordkeeping system. (c) Agencies may elect to manage electronic mail records with very short-term NARA-approved retention periods (transitory records with a very short-term retention period of 180 days or less as provided by GRS 23, Item 7, or by a NARA-approved agency records schedule) on the electronic mail system itself, without the need to copy the record to a paper or electronic recordkeeping system, provided that: (1) Users do not delete the messages before the expiration of the NARA-approved retention period, and (2) The system's automatic deletion rules ensure preservation of the records until the expiration of the NARA-approved retention period. (d) Except for those electronic mail records within the scope of paragraph (c) of this section: (1) Agencies must not use an electronic mail system to store the recordkeeping copy of electronic mail messages identified as Federal records unless that system has all of the features specified in §1236.20(b) of this part. (2) If the electronic mail system is not designed to be a recordkeeping system, agencies must instruct staff on how to copy Federal records from the electronic mail system to a recordkeeping system. (e) Agencies that retain permanent electronic mail records scheduled for transfer to the National Archives must either store them in a format and on a medium that conforms to the requirements concerning transfer at 36 CFR part 1235 or maintain the ability to convert the records to the required format and medium at the time transfer is scheduled. (f) Agencies that maintain paper recordkeeping systems must print and file their electronic mail records with the related transmission and receipt data specified by the agency's electronic mail instructions. § 1236.24 What are the additional requirements for managing unstructured electronic records? top (a) Agencies that manage unstructured electronic records electronically must ensure that the records are filed in a recordkeeping system that meets the requirements in §1236.10, except that transitory e-mail may be managed in accordance with §1236.22(c). (b) Agencies that maintain paper files as their recordkeeping systems must establish policies and issue instructions to staff to ensure that unstructured records are printed out for filing in a way that captures any pertinent hidden text (such as comment fields) or structural relationships (e.g., among worksheets in spreadsheets or other complex documents) required to meet agency business needs. § 1236.26 What actions must agencies take to maintain electronic information systems? top (a) Agencies must maintain inventories of electronic information systems and review the systems periodically for conformance to established agency procedures, standards, and policies as part of the periodic reviews required by 44 U.S.C. 3506. The review should determine if the records have been properly identified and described, and if the schedule descriptions and retention periods reflect the current informational content and use. If not, agencies must submit an SF 115, Request for Records Disposition Authority, to NARA. (b) Agencies must maintain up-to-date documentation about electronic information systems that is adequate to: (1) Specify all technical characteristics necessary for reading and processing the records contained in the system; (2) Identify all inputs and outputs; (3) Define the contents of the files and records; (4) Determine restrictions on access and use; (5) Understand the purpose(s) and function(s) of the system; (6) Describe update cycles or conditions and rules for adding, changing, or deleting information in the system; and (7) Ensure the timely, authorized disposition of the records. § 1236.28 What additional requirements apply to the selection and maintenance of electronic records storage media for permanent records? top (a) Agencies must maintain the storage and test areas for electronic records storage media containing permanent and unscheduled records within the following temperature and relative humidity ranges: (1) Temperature—62° to 68 °F. (2) Relative humidity—35% to 45%. (b) Electronic media storage libraries and test or evaluation areas that contain permanent or unscheduled records must be smoke-free. (c) For additional guidance on the maintenance and storage of CDs and DVDS, agencies may consult the National Institute of Standards and Technology (NIST) Special Publication 500–252, Care and Handling of CDs and DVDs athttp://www.itl.nist.gov/iad/894.05/papers/CDandDVDCareandHandlingGuide.pdf,contact phone number (301) 975–6478. (d) Agencies must test magnetic computer tape media no more than 6 months prior to using them to store electronic records that are unscheduled or scheduled for permanent retention. This test should verify that the magnetic computer tape media are free of permanent errors and in compliance with NIST or industry standards. (e) Agencies must annually read a statistical sample of all magnetic computer tape media containing permanent and unscheduled records to identify any loss of data and to discover and correct the causes of data loss. In magnetic computer tape libraries with 1800 or fewer tape media, a 20% sample or a sample size of 50 media, whichever is larger, should be read. In magnetic computer tape libraries with more than 1800 media, a sample of 384 media should be read. Magnetic computer tape media with 10 or more errors should be replaced and, when possible, lost data must be restored. All other magnetic computer tape media which might have been affected by the same cause (i.e., poor quality tape, high usage, poor environment, improper handling) must be read and corrected as appropriate. (f) Before the media are 10 years old, agencies must copy permanent or unscheduled data on magnetic records storage media onto tested and verified new electronic media.

Update from the GRS Team

2012-03-03T19:43:00.000-08:00

Update from the GRS Team:

The General Records Schedules (GRS) Team has received the following comment on the recent RM Communication, AC 09.2012: Announcing a New General Records Schedule Team, and wanted to share their response in the event that the expressed concern is shared by others.

Comment: It is just our experienced opinion that before the GRS Team embarks on the “much needed” Schedule for Web and Social Media Records, NARA might consider filling the glaring gaps for records that have been missing in the Schedules for years and really are “much needed” (e.g. Environment, Health, and Safety, Annual Employee Engagement Survey, and the new series created as a result of shared automated systems for Federal Travel, Employee Benefits, Payroll that are not clearly addressed, just a few examples). Then, NARA can consider Social Media. NARA has no idea how to manage Social Media records (mounted on third party sites) at this early stage, so clear guidance, as opposed to a GRS is needed, rather than preliminary generalized scheduling.

GRS Team response: The GRS Team does plan on addressing gaps in the GRS. However, before we can address those gaps we need to identify what they are. Part of our upcoming survey (see AC 10.2012) asks agencies to let us know what is missing so that we know what we need to add. Many of the gaps specifically noted in your e-mail relate to existing GRS schedules and those records will be addressed as we go through the revision process. Those that are completely new categories will be worked into our overall plan as well.

There has been a call from Federal agencies for NARA to work on a new GRS for web and social media records. It was one of the main concerns addressed to the Chief Records Officer at the recent ARMA meeting. We chose it as the first new GRS project because NARA and the Federal Records Council have already been working towards a GRS to cover social media records and because it was a readily identifiable need. We recognize that further guidance is needed in regard to managing web and social media records and we believe that drafting a GRS is a step forward.

We welcome further comments and input as we proceed with updating the GRS. As stated above we will be sending out a survey to Federal Records Officers to gather some basic input, followed by some web and hopefully in-person sessions to delve further into issues and address agency needs. If you would like to comment or express concerns about the GRS or the GRS revision process, please feel free to contact us at GRSTeam@nara.gov. We welcome your input in order to improve the GRS to better meet agency needs.

National Archives Frequently Asked Questions

2012-03-03T16:07:00.000-08:00

Frequently Asked Questions

These are introductory answers to frequently asked questions about the National Archives and Records Administration (NARA) and our holdings and services.

Select a subject from the menu on the left to view questions and answers relating to your selection.
Links will guide you to further information on our web site or to other sources.

National Archives Frequently Asked Questions

Autonomy Records Management Suite including ControlPoint Review

2012-02-24T17:09:00.000-08:00

Autonomy's software powers the full spectrum of mission-critical enterprise applications including pan-enterprise search, customer interaction solutions, information governance, end-to-end eDiscovery, records management, archiving, business process management, Web content management, Web optimization, rich media management, and video and audio analysis.

At the heart of Autonomy's Records Management solutions is the Intelligent Data Operating Layer (IDOL). IDOL forms a conceptual and contextual understanding of all electronic information - structured and unstructured - and enables computers to process information like humans do by reading, watching, and listening to it.

IDOL’s advanced analytics automate the processing of this content regardless of its format, location, or language. IDOL sits above an organization’s data to perform keyword and conceptual search, speech analytics, audio and video search, and automated, intelligent categorization. IDOL’s ability to extract meaning from information through an understanding of both the content and context of data allows Autonomy to enrich extracted data based on the knowledge already held within the organization. IDOL is the common platform for all Autonomy eDiscovery, archive, information management, and information governance solutions.

Autonomy Records Management automates information governance and the retention and disposition of records by understanding the meaning of all information across an enterprise regardless of data type, language, or repository through the power of Autonomy IDOL. Autonomy Records Management can automatically create taxonomies, records categories, or file plans based on the corpus of data, import an existing taxonomy, or allow users to train the records categories or file plan so that IDOL can automatically identify content across all repositories in an organization that should be managed as records. This functionality not only solves the task of identifying records in legacy repositories, but also automatically categorizes of new content, eliminating the need to train the user in manual management processes.

Once the records are identified, the Autonomy Records Management solution can be used to apply the most appropriate retention policy based on business value, regulatory requirement or relevance to a legal matter, or a combination of these. Policies can be defined, monitored, and enforced on a global basis to comply with country/jurisdictional-specific variants in retention policy, privacy laws, and legal citations and to support global certifications such as DoD 5015.2, TNA 2002 and VERS and adherence to the requirements of standards such as ISO15489.

Autonomy has been awarded the US Federal Government’s SmartBUY contract for Electronic Document and Records Management software, enabling e-government and helping to meet the goals of the President's Management Agenda - a strategy designed to improve the management of the federal agencies.

This product is covered in much more detail in the AIIM Product Study on ERM Systems, a 200-page comparative guide to records management products from 21 vendors.

Autonomy Records Management Suite including ControlPoint Review:

'via Blog this'

Dreaming of the Documentum Community and Conferences

2012-02-19T16:21:00.000-08:00

Dreaming of the Documentum Community and Conferences:

I had a dream that I was at the upcoming Documentum Developer Conference and TechSet next month here in the DC area. (Seriously, I did. Was a little strange, even for me.) I was wandering around, saying hi to people I knew, sharing a quick drink. Soon enough, the next set of sessions started and everyone went to go learn while I went off to….no idea actually as I then woke up.

I decided to take the dream as a sign that I needed to write about the event. Why? Because this reflects a return to something that was a regular occurrence back before EMC took over the conferences. It deserves recognition.

Oh, and I plan on swinging by to say hello and want to see you there.

The Resurgence of the Documentum Developer

One of my early complaints about the merging of the Documentum Developer Conference and Momentum into EMC World was the overlap. I had to choose between the business/product sessions and the Developer sessions. There was also an issue of sending everyone to the same conference. People couldn’t very well send the entire team to the same conference as someone had to keep the lights on back home.

The biggest issue was the overall reduction in content. As I observed after the 2009 EMC World, the total number of sessions were down almost 50%. Even now, if you went to EMC World last year, there was a shortage of technical sessions (though it was better than 2010).

EMC seems to have finally heard and they are having a one day Developer conference followed by a three day TechSet allowing a deep-dive into the more in-demand technology areas. Those areas:

xCP Advanced: xCP is all about configuration, but there are a lot of tips and tricks to be learned to really take full advantage of the platform. If you are thinking of getting certified, or just live with this tech, you should settle in and attend.

D2 Configuration: D2is new and offers great potential. WDK interfaces look old and people are noticing. I wish I could attend this one so I could learn what is going on behind all of the hype.

Captiva Dispatcher: Captiva sells well and I was seeing a shortage of experts out there last fall. Research shows that the paper-free world is important but there is work to be done.

Document Sciences: Nobody out there knows this well enough and clients are asking for it. EMC still has some work on the marketing and pricing model, but this capability is important for the back-end of business processes.

Would be nice to have an architecture track, but given that it might all change with NGIS and the easier scaling that comes with the 64-bit versions, I understand why that may have been left out. It is also possible they couldn’t pry the right people from Pleasanton to run it.

The Biggest Benefit of Conferences

Networking. That is the biggest benefit of conferences. As a developer, you trade war stories and learn from others what has, and has not, worked for them. As a business user, you can learn how peers are attacking business problems that will help you come up with innovative solutions for your own problems.

That is why I always went to EMC World and always tried to encourage the business side to attend. Each year, more attend and each year they get greater value. Last year, I said that EMC World was finally truly safe for business users to attend and gain real value. I meant it.

I will not be attending EMC World unless EMC decides they need someone from AIIM to talk about the convergence of Social, Mobile, Cloud, and Big Data in the industry. (*hint-hint*) It is a shame really because the Momentum section of the conference was really coming into its own last year.

I will be dropping in on the Developer Conference next month. Unlike EMC World, it is in my back yard and I can swing by the unofficial end-of-the-day events. I know speakers and attendees and it will be nice to see everyone there.

When I took the job of CIO at AIIM, it wasn’t because I was running from Documentum. I was a part of the Documentum Community for 12 years. I will always feel connected and will maintain my ties as I can.

That is the joy of a real community, it is always part of you. Come to the Developer Conference. Attend EMC World (early bird rate through February). Don’t just be a developer, user, or manager of Documentum.

Become part of the Documentum Community.

Changes to Teams That Serve Our Customers

2012-02-19T16:16:00.000-08:00

Changes to Teams That Serve Our Customers:

The following memo to our agency contacts was sent out this morning.

NARA’s Office of the Chief Records Officer (OCRO) and Federal Records Centers Program (FRCP) are making some changes to the teams that work most closely with agency staff on records management issues-the Appraisal Archivists and the FRCP Account Managers. We are making these changes to be more responsive to customer needs and help the Appraisal Archivists and the Account Managers better work together in serving our customers.

The Appraisal Archivists in the OCRO’s office work directly with Federal agencies to appraise and process records schedules (SF-115, Requests for Disposition Authority) and handle questions related to records management. FRCP Account Managers (www.archives.gov/frc/acct-reps.html) ensure that agency customers are satisfied with the services they are receiving from the FRCs and make customers aware of new and existing services the FRCs can provide on a fee-for-service basis.

Attached are two documents related to these teams:

The handout Appraisal Teams in NARA’s Office of the Chief Records Officer (link opens a .pdf) provides a high-level overview of the OCRO Appraisal Team structure, including the members of each team and a summary of selected agencies covered by each team. The Federal agency appraisal and scheduling teams are also posted on NARA’s web site at: http://www.archives.gov/records-mgmt/appraisal/index.html.

The spreadsheet Agency Assignments (link opens a MS Excel spreadsheet) provides a detailed list of all Federal agencies assigned to OCRO Appraisal Archivists and FRCP Account Managers.

Your agency’s Appraisal Archivist and/or Account Manager may have changed. Where possible, we designed team structures and individual assignments to preserve existing relationships in order to capitalize upon institutional knowledge. In some cases, however, overall streamlining and aligning of Appraisal Teams and Account Manager assignments necessitated changes. We are confident that the new structure will result in better customer service.

We would like to provide an opportunity for you to meet your Appraisal Archivist and Account Manager and speak directly with them about your records management needs. We have scheduled three open houses over the next several weeks where we will provide more information about what we do and how we can best serve you. The meeting schedule is:

Tue., February 7^th, 9:00 am Appraisal Team One agencies

Wed., February 15^th, 1:00 pm Appraisal Team Three agencies

Thu., March 8^th, 9:00 am Appraisal Teams Two and Four agencies

The open house meetings will be held in the Washington Room at the National Archives and Records Administration downtown building, 700 Pennsylvania Avenue, NW (Metrorail’s Yellow or Green lines to the Archives/Navy Memorial station). Please enter on the Constitution Avenue side of the building.

To reserve a place for the open house, please send your name, telephone number, and agency to RM Communications@nara.gov, no later than February 3^rd. You may reserve places for up to three staff in the same email, but for security purposes, we must have each individual’s name and telephone number. Please email Shannon Olsen at shannon.olsen@nara.gov, or call 301-837-3486, if you need assistance.

In addition to these meetings, we will hold a webinar for agencies that are located in the field and for those headquarters agencies that are unable to attend the scheduled open houses. More information regarding the webinar will be sent out soon.

It is our hope that this OCRO and FRCP unified approach will better serve all of your records management needs in the future. We look forward to meeting with you at the upcoming open house events.

PAUL M. WESTER, JR.

Chief Records Officer for the

U.S. Government

DAVID WEINBERG

Director, Federal Records Centers Program

February BRIDG Meeting

2012-02-19T16:15:00.001-08:00

February BRIDG Meeting:

Please mark your calendars for the next BRIDG meeting scheduled for Wednesday, February 15, 2012, from 10:00 a.m. to 12:00 p.m. The Pre-BRIDG Networking Hour will be held from 9:00 a.m. to 10:00 a.m. The meeting will be held at the National Archives and Records Administration downtown building, 700 Pennsylvania Avenue, NW (Metrorail’s Yellow or Green lines to the Archives/Navy Memorial station) in the McGowan Theater. Please enter on the Constitution Avenue side of the building.

Meeting agenda items include the following:

Presidential Memorandum Update Paul M. Wester, Jr., Chief Records Officer, will give a brief update on the activities NARA and other Federal agencies are conducting in response to the Presidential Memorandum—Managing Government Records.

Using Scanning to Jump Start a Business Process Markus Most, Federal Records Centers Program’s (FRCP) Director of Business Development, will give a report on how the FRCP is providing scanning services to help its agency customers streamline and modernize business processes. The presentation will include an overview of a large-scale scanning project the FRCP is undertaking to assist the Veterans Administration in digitizing its claims process as well as information on other smaller-scale projects at other Federal agencies.

Appraisal Team Reorganization Margaret Hawkins, Director of Records Management Services, will give an update on the reorganization of the Appraisal Teams and agency assignments, as announced in Memorandum to Federal Agency Contacts AC 07.2012. Her presentation will cover the open houses that the Office of the Chief Records Officer and the FRCP are jointly hosting for agencies to meet their appraisal archivist and account manager.

General Records Schedule (GRS) Team Margaret Hawkins will also give a presentation about the newly formed GRS Team. This team’s role is to update and revise the General Records Schedules, create new General Records Schedules, and serve as subject matter experts. The presentation will provide an overview of the three projects the team will be focusing on this FY: 1) a study to consider how best to restructure and update the GRS to better meet agency needs; 2) guidance on incorporating GRS authorities into agency big bucket or functional schedules; and 3) drafting a new GRS to cover web and social media records.

As we mentioned in the September 9, 2011 ”BRIDG Improvements” memo, NARA has been exploring how to offer a live webcast of BRIDG meetings. During this BRIDG, we will be piloting delivery of the meeting to a small group of testers, and we want in-person attendees at the meeting aware that it will be filmed and webcast live to this small group of testers. We hope to offer webcasting of BRIDG meetings to all agencies in the very near future.

Pre-BRIDG Networking Hour

Join your colleagues in records management from other agencies and NARA Agency Services staff from 9:00 to 10:00 a.m. in the Jefferson Room (Mezzanine Level of the National Archives Building) to chat over doughnuts and coffee. Feel free to bring materials to share from your agency (announcements of upcoming RM-related events, job openings, etc.).

To reserve a place for the Agency Services-BRIDG meeting and/or the pre-BRIDG networking hour, please provide your name, telephone number, and agency via email to rm.communications@nara.gov, no later than Monday, February 13, 2012. You may reserve places for several staff in the same email, but for security purposes we must have each individual’s name and telephone number. To attend the pre-BRIDG networking hour, you must RSVP in your email response. We need to determine an accurate headcount for catering.Please email Shannon Olsen at shannon.olsen@nara.gov, or call 301-837-3486 if you need assistance.

NARA encourages agencies to participate at BRIDG by presenting best practices or lessons learned that would be helpful to other attending agencies. If you wish to lead a discussion, please leave a comment here.

We reserve the right to postpone or cancel a meeting at any time. We will make every effort to contact registrants by e-mail and telephone if that occurs, so complete information at the time of registration is very important. Meetings WILL BE CANCELLED if the Office of Personnel Management (OPM) announces a “closed,” “unscheduled leave,” “liberal leave,” or “delayed arrival” policy for Federal employees for that day or if there has been an elevation to threat level RED in the Homeland Security status. Official Government closing and leave information is located on the OPM web site .

Presidential Memorandum Briefing Slides

2012-02-19T16:15:00.000-08:00

Presidential Memorandum Briefing Slides
by Arian Ravanbakhsh
The Office of the Chief Records Officer has been making the rounds talking about the Presidential Memorandum and all the work that is underway to draft the response. We’ve spoken to audiences inside the National Archives and to regional ARMA Chapters (the Metro Maryland as well as the Greater Baltimore Chapters) with additional events lined up over the next few weeks and months.

We wanted to share the current briefing slides that we have been using for these presentations. They can be downloaded here as a .pdf file. We will update this presentation as we continue to work on the Presidential MemorandumPresidential Memorandum Briefing Slides:

The Office of the Chief Records Officer has been making the rounds talking about the Presidential Memorandum and all the work that is underway to draft the response. We’ve spoken to audiences inside the National Archives and to regional ARMA Chapters (the Metro Maryland as well as the Greater Baltimore Chapters) with additional events lined up over the next few weeks and months.

We wanted to share the current briefing slides that we have been using for these presentations. They can be downloaded here as a .pdf file. We will update this presentation as we continue to work on the Presidential Memorandum.

NARA Launching IdeaScale for Presidential Memorandum

2012-02-19T16:14:00.000-08:00

Launching IdeaScale for Presidential Memorandum
by Arian Ravanbakhsh
We are happy to announce the start of our public information gathering related to the Presidential Memorandum on Managing Government Records. We will be using the IdeaScale tool for this. Records and information management professionals, vendors, and the general public are all invited to participate in this community.

We have set up the Managing Government Records IdeaScale at http://govrecordmanagement.ideascale.com/. This community will be open for comments until March 27, 2012.

Here is how it works. You can also download this handy .pdf of quick tips.

Create a free IdeaScale account.
Submit your ideas for improving the management of Federal records under the six categories specified by the President in the Memorandum. These are: Creating a government-wide framework; Promoting practices that enable agencies to Fulfill Missions; Maintaining accountability through documentation; Increasing Open Government and Access; Supporting Agency Compliance; and Transitioning from paper to electronic when feasible.
Provide comments on ideas already submitted.
Vote “up” or “down” on posted ideas. This will indicate to others what you think of the idea.
Encourage others to participate! Send a link to your colleagues or professional network
Check back to the site to see what is going on. Did others like your idea? Do you have something else to propose?
In addition to Ideascale, feel free to contribute a comment here. Let us know of the ideas big and small that should inform the directive to be issued this summer in response to the Presidential Memorandum.

Thank you for your participation!

2012 Electronic Records Management Event Worth Considering

2012-02-12T17:46:00.000-08:00

2012 Austin e-Forum
This message is from our colleagues at The National Association of Government Archives and Records Administrators (NAGARA)
Registration is now open for the 2012 E-Records Forum, a unique conference focusing on current issues in Electronic Records Management. This program is sponsored by NAGARA, and co-sponsored by the NARA Southwest Region, Texas State Library and Archives Commission, University of Texas at Austin School of Information, and the Society of Southwest Archivists.