Modernizing Records Management VAGARA Conference November 9, 2016 Keynote Address Laurence Brewer, CRM Chief Records Officer for the U.S. Government National Archives and Records Administration
Modernizing Federal Records Management Three key questions (for today at least) – What’s driving progress? – What are we learning? – How can we ensure success? ….but first……. 2
National Archives and Records Administration 3
Office of Chief Records Officer • Leads records management throughout the Federal government with an emphasis on electronic records • Assesses the effectiveness of policies and programs 4
Office of the Chief Records Officer (AC) Chief Records Officer for the U.S. Government RM Reporting RM Policy and RM Training (ACT) RM Operations (ACR) and Oversight Outreach (ACP) (ACO) Policy and Standards Business Analysis Training Design & Oversight Team 1 Team Solutions Team Development Team Training Analysis, Policy and Program Permanent Records Evaluation, & Support Team Capture Team Oversight Team 2 Operations Team Training Records Appraisal and Implementation Systems Analysis Agency Assistance Team Team
What’s driving progress? Directives, regulations, and bulletins….oh my! 6
Managing Government Records Directive 7
Directive Goals By 2019, agencies manage all permanent electronic records in electronic formats By 2016 , agencies manage permanent and temporary email in accessible, electronic format 8
OMB A ‐ 130 July 28, 2016 • Records more prominent in new version • Complements NARA’s regulations • Requires electronic management of Federal emails 9
• Nov 2011 Presidential Memo • Aug 2012 OMB/NARA Directive • Aug 2013 Capstone Bulletin *Sept 2015 Capstone GRS • Jan 2014 Format Bulletin • Sep 2014 OMB/NARA Memo and Email Bulletin • Nov 2014 Updated Federal Records Act • July 2015 Electronic Messaging Bulletin • Sep 2015 Minimum Metadata Bulletin • Apr 2016 Email Success Criteria • July 2016 OMB Circular A ‐ 130 10
Records management is the backbone of open Government. The White House Memorandum re: Managing Government Records, November 28, 2011 11
Open Government at NARA 12
What are we learning? • Reporting • Data gathering • Research • Analysis 13
Agency Reports • Senior Agency Official (SAO) Annual Reports – 92% Response Rate (95 of 103 agencies) – FY15 Reports available at: http://www.archives.gov/records ‐ mgmt/agency/sao ‐ reporting ‐ 2015.html • Records Management Self ‐ Assessment (RMSA) – FY15 Reports, 100% Response Rate (260 agencies) – Compiling FY15 analysis, previous reports available at: http://www.archives.gov/records ‐ mgmt/resources/self ‐ assessment ‐ 2014.pdf 14
2015 SAO Annual Reports 15
Records Management Self ‐ Assessment
RMSA Risk Trends RMSA Trends by Risk Category 2009 ‐ 2015 49% 47% 47% 46% 45% 45% 44% 43% 43% 37% 36% 36% 34% 29% 28% 21% 20% 20% 16% 10% 5% 2009 (Pilot) 2010 2011 2012 2013 2014 2015 High Risk Moderate Risk Low Risk
Capstone • 172 of 260 agencies intend to use Capstone. 19
Capstone Accounts 20
Implementation and Ongoing Responsibilities When using the Schedule records Capstone approach, Prevent the unauthorized destruction agencies must of records continue to: Ensure records are retrievable and usable Consider whether email should be filed with related records Capture and maintain metadata 21
Capstone GRS 6.1 Issued 7 ‐ year and 3 ‐ year • disposition Apply to use • Public listing of • agencies’ Capstone positions Updated in March • to give more cutoff flexibility 22
Electronic Messages White Paper Contents • NARA Research • NARA Analysis • Current Practices • Agency Next Steps • Appendix A: Other Government and Federal Agency Policies • Appendix B: Tools Available for Capture of Electronic Messages 23
How can we ensure success? • Success criteria • Inspections • Validation • System audits • Training 24
Criteria for Managing Email Records • Foreword from the Archivist • Success Criteria • Appendix A: Questions for Discussion • Appendix B: Spreadsheet of Requirements 25
Records Management Oversight
Inspections • Purpose – Based on 36 CFR 1239 – Part of NARA’s regulatory oversight role – To identify challenges and recommend solutions – Monitor improvements and progress – Have been doing 3 to 4 per year – Will continue to increase as we increase staff – Reports are available on our website
http://www.archives.gov/records ‐ mgmt/resources/inspections.html
Modernizing Ourselves • New systems team • Technologically ‐ focused • System audits 29
Records Management Training Program Training Program Website http://www.archives.gov/records ‐ mgmt/training/ Training Program Learning Management System (URL will change on November 21, 2016) https://nara.learn.com/learncenter.asp?sessionid=3 ‐ AD4BD6F5 ‐ 0492 ‐ 48F0 ‐ A8E6 ‐ D95AE0A41D81&id=178413 Training Program You Tube https://www.youtube.com/playlist?list=PLugwVCjzrJsWb TAkNkRdOj_LsgsVpMHeZ 30
FY16 – Where We’ve Been Over 6,000 students RM Curriculum 2.0 Over 287 classes, 107 agency requested classes
Proposed Federal Records Management Training Certificate Program Level 1 Level 2 Level 3 • Expert •Program/Office level RM •Multiple Program/Component level RM • Department/Agency level RM •Often RM Custodians • Often Agency Records Officers •Often Records Liaisons •GS ‐ 0308 5/7/9 • GS ‐ 0308 ‐ 13 ‐ 15 •GS ‐ 0308 11 ‐ 13 •Signed by Director, ACT • Signed by AOTUS •Signed by CRO Continuum of RM Expertise Development
FY17 Training Locations
Coming in FY17 • Sustainable Formats and Permanent Electronic Records Course – asynchronous online • Online Basic Records Operations for overseas RMs • New evaluation form • New Learning Management System
What’s Next? • Strategic planning post ‐ 2019 • Engaging SAORMs • Electronic messaging • ERM automation and tools • Increasing quantity and quality of data from oversight and reporting 35
More Information Follow Records Express at http://records ‐ express.blogs.archives.gov/ NARA Records Management webpage http://www.archives.gov/records ‐ mgmt/ 36
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