How E-Government Is Happening in Electronic Records Management

1

e-Records Management

• How E-Government Is Happening in Electronic
  Records Management
• Dr. Mark Giguere, Lead IT (Policy Planning)
• Co-Program Manager, ERM Initiative
• August 31, 2004

2
ERM Initiative - Background

• E-Gov Initiatives
• what they are
• how they work
• E-Records Management (ERM) Initiative
• Managing Partner - National Archives Records
  Administration

3
Vision

• To effectively manage and facilitate access to
  agency information in order to support and
  accelerate decision making and ensure
  accountability.

4
Goals

• To integrate e-records management concepts and
  practices with comprehensive information
  management policies, processes and objectives to
  assure the integrity of e-records and
  information.
• To employ ERM to support interoperability, timely
  and effective decision making, and improved
  services to customers.
• To provide the tools for agencies to access
  e-records for as long as required and to transfer
  permanent e-records to NARA for preservation and
  future use by government and citizens.

5
Challenges

• Changing the way the government works as it moves
  towards ERM
• Breadth of Federal agency preparedness to move to
  ERM
• Leading an E-Gov initiative that isnt
  IT-oriented

6
Organization of Initiative

• 4 Issue Areas with Lead Partner Agency
• Correspondence Tracking - Dept. of Energy
• Enterprise-wide ERM - EPA
• Electronic Info. Mgmt. Standards - DoD
• Transfer Permanent Records to NARA - NARA

7
Issue Area 1 - Correspondence Tracking

• Background
• Tracking and coordination of high-level
  Congressional correspondence was identified
  during Quicksilver interviews as a major issue
  for Cabinet-level agencies.
• OMB determined the issue should be addressed as
  part of the E-Records Management Initiative led
  by NARA.

8
Issue Area 1Correspondence Tracking

• FY 2003 accomplishments
• Limited survey of Cabinet-level agencies to
  establish agency capabilities and system
  requirements
• Offering of limited pilot use of DOE
  correspondence portal
• Evaluation of need for further activity
• FY 2004 closed by Karen Evans

9
Issue Area 2Enterprise-wide ERM

• Lead Partner - EPA
• Contact Chris ODonnell
• odonnell.chris_at_epa.gov
• Objective
• Provide tools for agencies to use as they plan
  and implement ERM systems

10
Issue Area 2Enterprise-wide ERM

• FY 2003 Accomplishments
• Guidance for Coordinating the Evaluation of
  Capital Planning and Investment Control (CPIC)
  Proposals for ERM Applications
• FY 2004 Accomplishments
• Methodology for Determining Agency - unique
  Requirements Beyond DoD 5015.2 (v. 2)
  (forthcoming)

11
Issue Area 3Electronic Info Mgmt Stds

• Lead Partner - DoD
• Contact Harriet Riofrio
• Harriet.Riofrio_at_osd.mil
• Objective
• To promote the Federal-wide adoption of the DoD
  Electronic Records Management Software
  Application Design Criteria Standard - DoD
  5015.2-STD, version 2

12
Issue Area 3Electronic Info Mgmt Stds cont.

• DoD release of DoD 5015.2 STD version 2.0 for
  DoD mandatory use - FY 2002
• Adoption of DOD 5015.2 STD version 2.0 for
  civilian agency use
• NARA Bulletin issued 1/15/03

13
Issue Area 3Electronic Info Mgmt Stds cont

• NARA Bulletin 2003-03
• Endorses DoD 5015.2-STD, version 2 for all
  agencies
• Recommends using the DoD standard and the
  DoD-certified products as a baseline when
  selecting an RMA to manage the agency's
  electronic records.

14
Issue Area 3Electronic Info Mgmt Stds

• Resources
• NARA Bulletin - http//www.archives.gov/records_ma
  nagement/policy_and_guidance/bulletin_2003_03.html
  
• Information about DoD 5015.2-STD -
• http//jitc.fhu.disa.mil/recmgt/standards.htm

15
Issue Area 3Electronic Info Mgmt Stds

• Certified product register -
• http//jitc.fhu.disa.mil/recmgt/register.htm
• JITC testing and certification
• matsuurs_at_fhu.disa.mil
• http//jitc.fhu.disa.mil/recmgt/

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Issue Area 4 Transfer Permanent E-Records to NARA

• Lead partner - NARA
• Objectives
• To expand transfer options for permanent
  electronic records
• formats NARA can accept
• the media and techniques for transferring
  permanent electronic records to the National
  Archives of the United States
• To ensure permanent e-records are preserved

17
Issue Area 4 Transfer Permanent E-Records to
NARA cont.

• Issue Area 4 FY 03 Products
• Rule authorizing FTP/DLT transfer mechanisms
• 3 new formats accepted (e-mail, scanned images of
  text, PDF)
• XML schemata for transfer

18
Issue Area 4 Transfer Permanent E-Records to
NARA cont.

• Issue Area 4 FY 04 Products
• 1 new format issued (digital photography)
• 1 new format about to be issued (GIS records)
  issued 04/15/04
• 1 new format pending (web site content records)
  mid-Sept 04

19
Issue Area 4 Transfer Permanent E-Records to
NARA cont.

• Further information
• Mark.Giguere_at_nara.gov or 301-837-1744
• Copies of transfer guidance on NARA web site
• http//www.archives.gov/records_management/initiat
  ives/email_attachments.html
• http//www.archives.gov/records_management/initiat
  ives/scanned_textual.html
• http//www.archives.gov/records_management/initiat
  ives/pdf_records.html
• http//www.archives.gov/records_management/initiat
  ives/digital_photo_records.html
• http//www.archives.gov/records_management/initiat
  ives/digital_geospatial_data_records.html
• Check the web site for future products at
• http//www.archives.gov/records_management/initiat
  ives/erm_products.html

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Approved FY 05 Activities

• Issue Area 1
• Closed in FY 04
• Issue Area 2
• EPA
• Finishing outstanding FY 04 products
• Pilot pilot planning guidance
• Pilot lessons learned
• Potential collaboration with DoI
• New FY 05 products
• COTS evaluation criteria/methodology
• Enterprise-wide RMA governance structure
• NARA Exhibit 300 checklist for enterprise-wide
  RMAs
• Issue Area 3
• Publishing DoD5015.2-STD (v. 3) for public
  comment

21
Approved FY 05 Activities

• Issue Area 4
• NARA/State MOU re. SMART system
• Pilot transfers
• Knowledge management
• Archival access
• Implementation of significant revision to
  national training program
• Define requirements for potential RM service
  components for Federal Enterprise Architecture
  Framework

22
Feedback/Questions?

• Visit the initiatives website
• http//www.archives.gov/records_management/initiat
  ives/erm_overview.html
• Nancy Allard, co-Program Manager
• [phone]
• Mark Giguere, co-Program Manager
• [phone]
• Carla Patterson, Project Manager
• [phone]