Modernizing Records Management VAGARA Conference November 9, 2016 - - PowerPoint PPT Presentation

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Modernizing Records Management VAGARA Conference November 9, 2016 - - PowerPoint PPT Presentation

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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

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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

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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…….

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National Archives and Records Administration

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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

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RM Training (ACT)

Training Design & Development Team Training Analysis, Evaluation, & Operations Team Training Implementation Team

RM Operations (ACR)

Business Analysis Solutions Team Permanent Records Capture Team Records Appraisal and Agency Assistance

RM Reporting and Oversight (ACO)

Oversight Team 1 Oversight Team 2 Systems Analysis Team

RM Policy and Outreach (ACP)

Policy and Standards Team Policy and Program Support Team

Office of the Chief Records Officer (AC)

Chief Records Officer for the U.S. Government

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What’s driving progress?

Directives, regulations, and bulletins….oh my!

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Managing Government Records Directive

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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

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  • Records more

prominent in new version

  • Complements NARA’s

regulations

  • Requires electronic

management of Federal emails

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OMB A‐130 July 28, 2016

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  • Nov 2011 Presidential Memo
  • Aug 2012 OMB/NARA Directive
  • Aug 2013 Capstone Bulletin
  • 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

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*Sept 2015 Capstone GRS

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Records management is the backbone of open Government.

The White House Memorandum re: Managing Government Records, November 28, 2011

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Open Government at NARA

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What are we learning?

  • Reporting
  • Data gathering
  • Research
  • Analysis

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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

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2015 SAO Annual Reports

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Records Management Self‐Assessment

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RMSA Risk Trends

36% 46% 45% 36% 28% 20% 16% 43% 49% 45% 44% 43% 47% 47% 21% 5% 10% 20% 29% 34% 37% 2009 (Pilot) 2010 2011 2012 2013 2014 2015

RMSA Trends by Risk Category 2009 ‐ 2015

High Risk Moderate Risk Low Risk

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Capstone

  • 172 of 260 agencies intend to use Capstone.

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Capstone Accounts

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Implementation and Ongoing Responsibilities

When using the Capstone approach, agencies must continue to:

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Schedule records Prevent the unauthorized destruction

  • f records

Ensure records are retrievable and usable Consider whether email should be filed with related records Capture and maintain metadata

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Capstone GRS 6.1 Issued

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  • 7‐year and 3‐year

disposition

  • Apply to use
  • Public listing of

agencies’ Capstone positions

  • Updated in March

to give more cutoff flexibility

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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

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How can we ensure success?

  • Success criteria
  • Inspections
  • Validation
  • System audits
  • Training

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Criteria for Managing Email Records

  • Foreword from the

Archivist

  • Success Criteria
  • Appendix A: Questions

for Discussion

  • Appendix B: Spreadsheet
  • f Requirements

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Records Management Oversight

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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

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http://www.archives.gov/records‐mgmt/resources/inspections.html

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Modernizing Ourselves

  • New systems team
  • Technologically‐focused
  • System audits

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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

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FY16 – Where We’ve Been

Over 6,000 students Over 287 classes, 107 agency requested classes

RM Curriculum 2.0

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Proposed Federal Records Management Training Certificate Program

Level 1

  • Program/Office level RM
  • Often RM Custodians
  • GS‐0308 5/7/9
  • Signed by Director, ACT

Level 2

  • Multiple Program/Component

level RM

  • Often Records Liaisons
  • GS‐0308 11‐13
  • Signed by CRO

Level 3

  • Expert
  • Department/Agency level RM
  • Often Agency Records Officers
  • GS‐0308‐13‐15
  • Signed by AOTUS

Continuum of RM Expertise Development

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FY17 Training Locations

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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

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What’s Next?

  • Strategic planning post‐2019
  • Engaging SAORMs
  • Electronic messaging
  • ERM automation and tools
  • Increasing quantity and quality of data from
  • versight and reporting

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More Information

Follow Records Express at http://records‐express.blogs.archives.gov/ NARA Records Management webpage http://www.archives.gov/records‐mgmt/