Year One of the Managing Government Records Directive

1. Year One of the Managing Government Records Directive Lisa Haralampus Federal Records Management Policy Section Head Office of the Chief Records Officer National Archives and Records Administration

2. Learning Objectives • Learn about the Managing Government Records Directive • Learn about guidance produced by NARA in support of the goals of the Directive • Understand the responsibilities placed on Federal agencies as they work towards implementing the goals in the Directive

4. Backbone of Open Government “When records are well-managed, agencies can use them to assess the impact of programs, to reduce redundant efforts, to save money, and to share knowledge within and across their organizations. In these ways, proper records management is the backbone of open Government.” The White House Memorandum re: Managing Government Records, November 28, 2011

7. Directive Goals

8. Goal #1: Require electronic recordkeeping to ensure transparency, efficiency, and accountability • By 2019, agencies manage all permanent electronic records in electronic formats • By 2016, agencies manage permanent and temporary email in accessible, electronic format

9. Goal #2: Demonstrate compliance with Federal records management statutes and regulations • Role of Senior Agency Officials • Accountability and training

10. Short Term Action Items NARA issues email guidance NARA revises transfer guidance NARA produces plan for automated management of electronic records NARA issues cloud reporting requirements NARA shall convene Senior Agency Official (SAO) meetings NARA establishes a Community of Interest NARA identifies RM analytical tool OPM establishes RM occupational series Agency Records Officers identify all unscheduled records, regardless of format SAOs ensure permanent records identified for transfer and reported to NARA

11. 2019 2019 • Federal agencies manage all permanent records electronically 2018 2017 2017 • NARA completes • overhaul of GRS 2016 2016 • Agencies manage all email • records in electronic format • SAOs ensure records • Schedules submitted to • NARA 2015 2015 • NARA issues improved Request for Records Disposition Authority process

12. Email Guidance NARA issues email guidance Challenge: Issue new guidance that describes methods for managing, disposing, and transferring email for Federal agencies that face great challenges in managing billions of emails Solution: The “Capstone” Bulletin issued August 29, 2013

13. Visualizing Capstone Accounts

14. Capstone Benefits • Reduces reliance on user-dependent policies • Optimizes access for information requests • Preserves permanent email records • Approach to manage legacy email accounts • Eases burden on end-user • Simplifies disposition • Reduces unauthorized destruction • Leverages existing technologies

15. Ongoing Responsibilities When using the Capstone approach, agencies must continue to . . .

16. More Capstone Information http://www.archives.gov/records-mgmt/email-mgmt.htm

17. Transfer Guidance NARA revises transfer guidance Challenge: Identify new transfer formats NARA can accept for permanent electronic records Solution: The “Transfer Formats” Bulletin issued January 31, 2014 [6 file formats become 54 file formats]

18. Goals for Revised Transfer Formats • Provide direction to agencies on acceptable transfer formats to balance preference for open formats with agency business needs • Expand the types of formats that NARA accepts • Acknowledge formats that are ubiquitous in the market place • Minimize need for agencies to transform records prior to transfer

19. File Format Categories

20. A Change in Approach Identified formats that are • Preferred • Acceptable • Acceptable for Imminent Transfer (sun-setting soon)

21. Example of Transfer Formats Tables http://www.archives.gov/records-mgmt/policy/transfer-guidance-tables.html

22. Social Media Guidance Challenge: Develop new guidance for managing social media records Solution: The “Social Media” Bulletin issued October 25, 2013 • Results: High-level requirements and best practices for capturing records created when Federal agencies use social media http://www.archives.gov/records-mgmt/bulletins/2014/2014-02.html

23. RM Challenges with Social Media • Articulate clear processes, policies, and recordkeeping roles and responsibilities • Areas to consider include: • Identifying records • Defining ownership • Terms of service (TOS) • Communicating policies • Monitoring use and value • Monitoring changes to TOS

24. Social Media Capture Methods to capture social media records include: • Using web crawling software • Using web capture tools to capture content • Using platform APIs • Using RSS Feeds, aggregators, or manual methods • Using tools built into some social media platforms to export content

25. Mobile Guidance Posted 3 blogs on Records Express in March 2014 • Identifies benefits, risks • Discusses possible records management implications • Considering guidance

26. Records Management Job Series OPM establish RM occupational series Challenge: Create a specific Federal job series for people working in Federal records management including records officers, analysts, specialists and others Solution: Dec 31st, 2013 OPM issued a draft occupational flysheet. Ongoing conversations about moving forward with the skills needed for Records and Information management

27. Records Management Training Agency Training by 2014 Challenge: Train all designated “Agency Records Officers” in Federal agencies as well as inform all staff in agencies of their records management responsibilities Solution: The “Training” Bulletin issued December 4, 2013. Agency Records Officers must receive the NARA Certificate of Federal Records Management Training

28. Communities of Interest NARA establishes a Community of Interest Challenge: NARA will cooperate with Government-wide councils to establish a Community of Interest (COI) that brings together leaders from the information technology, legal counsel, and records management communities to solve specific records management challenges Solution: The Federal Records Officer Network (FRON) The Electronic Records Management Automation Working Group

29. Federal Records Officers Network

30. ERM Automated Working Group

31. Automated Technologies NARA produces plan for automated management of electronic records Challenge: Produce a comprehensive plan in collaboration with stakeholders to describe suitable approaches for the automated management of email, social media, and other types of digital record content, including advanced search techniques

32. Automated Technologies • Following the Sept 10, 2013 Industry Day, NARA put out Request for Information • Over 50 vendor responses on ERM Automation Wiki • Available to anyone with .gov or .mil email account on OMB MAX ERM Automation wiki • https://max.omb.gov/community/x/5QlfJw • Use them! They’re there for you.

33. Automated Technologies

34. Automated Technologies • The information gathered, the responses, the working group helped inform the report/plan • Draft posted on Records Express March 10th • Comments requested by April 25th • Document consists of two parts • Report: Outlines approaches to automation with outcomes and risks • Plan: Proposes exploring a variety of steps to make those approaches more accessible and affordable for agencies http://blogs.archives.gov/records-express/files/2014/03/Automated-Electronic-Records-Management-Report-and-Plan_3.6.14_finaldraft.pdf

35. Automated Technologies Report: Suitable approaches for automating ERM and their outcomes, benefits, and risks. • NARA Stance on DOD 5015.2 • Approaches to Automation • No Automation • Rule Based Automation • Business Process and Workflow Automation • Modular, Re-usable ERM Tools • Autocategorization

36. Automating Technologies Plan: Acquiring Affordable Automated Solutions A. Approved electronic records automation vendors on a central procurement vehicle B. Electronic Records Management Line of Business, with one or several agencies offering their ERM services to other agencies C. Integrated workflow or rule-based electronic records management in other Lines of Business D. Modular records management components that can be used in many infrastructures

37. Contact Information Updates on our progress can be found on the Records Express blog at http://blogs.archives.gov /records-express/ General questions: PRMD@nara.gov Presenter: lisa.haralampus@nara.gov

38. Q & A Conversations