NARA

1
NARA You Update on the ERPWG

• Mark Giguere, Lead IT (Policy Planning)
• Office of Records Services Washington D.C.
• National Archives Records Administration

2
EGov Act of 2002

• EGovernment Act of 2002 (Public Law 107-347, 44
  U.S.C. Ch. 36) into law on December 17, 2002.
• Via budget guidance, OMB can further drive the
  utilization, interoperability and security of IT
  investments to
• advocates a more citizen-focused approach to
  current government-wide IT policies and programs
• establishes an Office of Electronic Government in
  the Office of Management and Budget (OMB) to
  improve Federal management of information
  resources
• formalizes the establishment of a Chief
  Information Officers (CIO) Council
• permanently reauthorizes and amends agency
  information security requirements through the
  Federal Information Security Management Act
  (FISMA)
• protects the confidentiality of certain types of
  data through the Confidential Information
  Protection and Statistical Efficiency Act
  (CIPSEA) and
• supports activities that OMB and the executive
  branch are already pursuing under the Presidents
  Management Agendas Expanding Electronic
  Government initiative.

3
ICGI

• Section 207 of the Act requires the Director of
  the Office of Management and Budget (OMB) to
  establish the Interagency Committee on Government
  Information (ICGI). The ICGI was
• Pursuant to section 207 of the Act, the ICGI
  will
• consult with interested communities
• conduct studies and submit recommendations to the
  Director of OMB and the Archivist of the National
  Archives and Records Administration (NARA) and
  share effective practices for access to,
  dissemination of, and retention of Federal
  information.

4
ICGI

• Executive Committee
• Karen Hogan (co-chair)
• Glenn Schlarman (co-chair)
• Dan Costello/Kim Nelson (OMB)
• Keith Thurston (GSA)
• Lew Bellardo (NARA)
• Bev Godwin (GSA)

5
ICGIs WG

• Categorization of Information (Christian)
• Web standards (Godwin)
• Public Domain Directory
• Web Content Standards
• Electronic Records Policy (Kurtz)

6
ERPWG

• Goal Develop recommendations and a timetable
  for implementation of those to the Archivist of
  the United States and the OMB Director for
  policies and procedures ensuring effective
  management of electronic records (Internet-based
  and otherwise).

7
ERPWG Objectives

• Identify barriers to effective management of
  Government information on the Internet and other
  electronic records.
• Identify common characteristics of temporary and
  permanent records generated by lines of business
  LOBs/sub-functions of the FEA Business
  Reference Model BRM (v. 2).
• Identify interim, realistic and useful tools for
  the creation and management of these records.
• Identify longer term solutions compatible with
  the Electronic Records Archives.
• Develop recommendations for ICGI to present to
  the Director of OMB and the Archivist

8
Where were at?

• BARRIERS REPORT
• Gathered via substantial internal-to-Govt/external
  -to-Govt input
• 4 major barriers identified
• Records and information are not managed as agency
  business assets
• Records management is not viewed as critical to
  agency mission
• Marginal support for records management has led
  to a lack of training
• Records management and information technology
  disciplines are poorly integrated within
• Public comment on report ended 8/1/04
• Identified barriers will feed ERPWGs ultimate
  recommendations to OMB Director/Archivist

9
Where were at (cont.)

• COMMON CHARACTERISTICS
• Identification of basal set of RM metadata for
  GII and OER
• 8 characteristics identified
• Association to series, creator, date, date type,
  identifier, LOB code, restrictions/rights, title,
  vital records indicator
• Metadata being coordinated with CGI and Web
  standards WGs
• Being made ISO 11179 (data dictionary standard)-
  compliant

10
Where were at? (cont.)

• ERM Toolkit
• Internet portal managed by NARA with ERPWG
  involvement
• Initially, ERM guidance tools that are proven as
  useful in agencies or are planned or under
  development to meet an identified ERM need
• Best practices, guidance, process models, lessons
  learned, tips and techniques, policies, etc.
• Metadata about tools collected, used to organize
  tools, share knowledge, provide user-friendly
  views
• Process to allow future focus on
  identifying/adding tools
• Identify and evaluate tools, manage toolkit data,
  facilitate expansion
• Project team approach multi-agency team to
  develop, establish and manage ERM toolkit in FY
  05

11
Where were at? (cont.)

• ERM Toolkit
• Adopted from the proposed directions articulated
  in the ERPWG Barriers Report
• Toolkit will share tools proven to help agencies
• Manage records as business assets
• Incorporate records management requirements in
  planning/re(design) of systems
• Overcome marginal support for records management
  in agencies
• Promote integration of RM and IT

12
Where were at? (cont.)

• ERM Toolkit
• ERM tools
• Documents, interactive guidance products, web
  sites, etc.
• Best practices, guidance, process models,
  policies and directives, tips and techniques,
  training programs, lessons learned, speeches,
  presentations, etc.
• Agency users
• General population, records officers/records
  management staff, CIOs, IT, business process
  owners/data owners, web content managers/web
  masters, legal staff
• ERM activities
• Traditional records management activities
• Other agency activities - integrating records
  management
• Enterprise architecture planning, security
  certification and accreditation, capital planning
  and investment control, systems development
  lifecycle

13
Where were at? (cont.)

• ERM Toolkit
• Internet portal managed and hosted by NARA with
  assistance of interagency group (e.g., ERPWG)
• User-friendly, flexible, expandable,
  self-validating
• Static versions to be created for promotion
  purposes
• Linked from key customer web sites
• Database populated with information about tools
  (i.e., metadata) used to organize and display
  tools
• Tools summarized for ease of selection
• Fixed views by User group, ERM activity
• Search capability (metadata, full-text,
  combination)
• Sort by metadata fields
• Tools maintained in agencies - linked to toolkit,
  or contact information provided
• Ongoing evaluation process for adding/removing
  tools
• E-mail feedback mechanisms

14
Where were at? (cont.)

• ERM Toolkit
• Developed as a project during FY-05
• Establish project team, tasks, milestones,
  project schedule
• Establish back-end processes and procedures that
  support future focus on identifying and adding
  tools.
• Identifying tools
• Evaluating and accepting tools
• Describing and organizing tools
• Maintaining tools
• Managing user feedback, continuous improvement
• Managing toolkit records
• Establish initial version of toolkit portal with
  a limited set of tools
• Used to promote the toolkit and as an incentive
  for agencies to contribute tools

15
Where were at? (cont.)

• ERM Toolkit
• ICGI review
• Agency review and comment
• ICGI approval
• Initiate ERM toolkit project

16
Where were at (cont.)

• RECOMMENDATIONS TO OMB DIRECTOR/ARCHIVIST
• Draft recommendations due to ICGI Sept 30
• Process begun on August 25th
• Will address a limited number of high impact
  recommendations to address identified barriers
• Including recommended timetable for adoption

17
After that?

• Toolkit population
• Implementing ICGI recommendations