modernizing records management vagara conference november … · 2016-11-14 · modernizing records...
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Modernizing Records ManagementVAGARA ConferenceNovember 9, 2016
Keynote Address
Laurence Brewer, CRMChief Records Officer for the U.S. GovernmentNational 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 GoalsBy 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‐13010
*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 Category2009 ‐ 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 of 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 PaperContents• 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 of 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 Websitehttp://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 Tubehttps://www.youtube.com/playlist?list=PLugwVCjzrJsWbTAkNkRdOj_LsgsVpMHeZ
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FY16 – Where We’ve BeenOver 6,000 studentsOver 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 oversight and reporting
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More Information
Follow Records Express athttp://records‐express.blogs.archives.gov/
NARA Records Management webpagehttp://www.archives.gov/records‐mgmt/