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Paul M. Wester, Jr. Director Modern Records Programs NARA

U.S. National Archives and Records Administration’s Strategic Directions for Federal Records Management. Paul M. Wester, Jr. Director Modern Records Programs NARA. Outline. Background to NARA’s RM Challenge Other Major Developments in RM What Did NARA Decide to Do?

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Paul M. Wester, Jr. Director Modern Records Programs NARA

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  1. U.S. National Archives and Records Administration’sStrategic Directions for Federal Records Management Paul M. Wester, Jr. Director Modern Records Programs NARA

  2. Outline • Background to NARA’s RM Challenge • Other Major Developments in RM • What Did NARA Decide to Do? • NARA’s Strategic Plan / Strategic Directions for Federal Records Management • 3 AND 9 AND 26 AND 6 • National Records Management Program • Records Management Training Program

  3. Background to Challenge • NARA’s current records management program was designed for paper records. • While Federal agencies still have paper records, most Federal records are created electronically and remain electronic for a portion of their lives.

  4. Other Major Developments • Innovative software products support the creation and modification of electronic documents – but records management tools lag behind. • Email creates more records – less meetings and telephone calls. • Email replaces traditional forms of written communications.

  5. Other Major Developments • Technology creates more copies – printers, copiers, fax machines. • Technology allows for more knowledge management activities – but less control of records to document business needs. • Changing technology and fewer RM staff resources places more responsibility on program management staff.

  6. Other Major Developments With the increased prevalence of electronic records, at least four groups have an interest in records: • Program Staff • Records Management Staff • Information Technology Staff • Legal Counsel Staff How do we get all four groups to work together?

  7. What Did NARA Decide to Do? Redesign Federal Records Management • Current efforts grow out of the July 2002 “NARA Proposal for a Redesign of Federal Records Management” • “NARA’s Strategic Directions for Federal Records Management” dated July 31, 2003

  8. NARA’s Current Mission NARA will ensure ready access to essential evidence that documents: • The rights of American citizens • The actions of Federal officials • The national experience

  9. NARA’s Current Strategic Plan • Essential evidence is created, identified, appropriately scheduled, and managed for as long as needed. • Electronic records are controlled, preserved, and made accessible for as long as needed. • Essential evidence is easy to access regardless of where it is or where users are for as long as needed. • All records are preserved in an appropriate environment for use as long as needed. • NARA strategically manages and aligns staff, technology, and processes to achieve our mission.

  10. 3 Overall Goals of RM Redesign • Federal agencies can economically and effectively create and manage records necessary to meet business needs. • Records are kept long enough to protect rights and assure accountability. • Records of archival value are preserved and made available for future generations.

  11. Nine Strategies • Mutually supporting relationships with agencies that advance agency missions and effective records management. • Demonstrate that effective records management adds value to business processes. • There is no one level to which records must be managed. • Agencies may choose a variety of means to manage their records.

  12. Nine Strategies • NARA will focus on trustworthyrecords and concepts in ISO 15489 (Records Management): • Authenticity • Reliability • Integrity • Usability By analyzing business processes, and using risk management techniques, help agencies managing their records and information as an asset.

  13. Nine Strategies • NARA will focus on accountability, protection of rights, and documentation of national experience. • NARA will prioritize based on rights and accountability; archival value; and risk to records. • NARA will partner with other agencies to develop, adapt, or adopt products and practices that support good records management.

  14. Nine Strategies • NARA will provide leadership, in partnership with other key stakeholders, to focus agency attention on electronic records needs.

  15. 26 Tactics to Carry Out Strategies and Achieve Records Management Goals • Communications Tactics • Advocacy • Change Management • Guidance and Training • Records Management Training • Certification • Guidance and Regulations

  16. 26 Tactics to Carry Out Strategies and Achieve Records Management Goals • Assistance to Agencies • Resource Allocation • Targeted Assistance • Oversight • Inspections • Studies • Reporting

  17. 26 Tactics to Carry Out Strategies and Achieve Records Management Goals • Records Management Tools • Further develop DOD Standard 5015.2 • Records Management Service Components for Agency Enterprise Architectures

  18. 26 Tactics to Carry Out Strategies and Achieve Records Management Goals • Business Process Reengineering • Business Process Engineering • Planning Tools – build RM considerations into procurement processes for new systems • Evaluation Tools – help agencies evaluate how effectively they are managing records

  19. 26 Tactics to Carry Out Strategies and Achieve Records Management Goals • Scheduling and Appraisal • Flexible Scheduling • Expanded General Records Schedules • Retention Standards for Functional Areas • Appraisal Policy • Front-End Scheduling • Mandatory Destruction

  20. 26 Tactics to Carry Out Strategies and Achieve Records Management Goals • Records Center and Archival Activities • Records Center Program and electronic records services • Custody Policy • Expanded Formats for Archival Records Transfers • Pre-Accessioning • Pre-Description

  21. How Will NARA Measure Success?6 Ways • NARA provides leadership in RM throughout the Government. • NARA is agile in adapting to changes in IT and in the Federal recordkeeping environment. • Agency leaders view RM as an important component of asset and risk management.

  22. How Will NARA Measure Success?6 Ways • Federal agencies have the RM tools necessary to support their business needs. • More people know about, use, and benefit from NARA services. • Current and future users of records have ready access to essential evidence regardless of where it is or where they are.

  23. National Records Management Program • NARA has approximately 100 FTE to carry out the records management mission. • There are over 300 organizational units that NARA provides services to. • NARA has to focus and organize its records management efforts around the three strategic goals: • Support Business Needs • Protect Rights / Assure Accountability • Preserve / Make Available Permanent Records

  24. National Records Management Program • Electronic Records Issues • Records Management Training and Advocacy • Targeted Assistance – Service to Customer Agencies • Internal Commitments and Needs • Staff Development Since NARA has limited resources, we need to focus and organize these resources on areas that support the strategic goals of our agency.

  25. Records Management Training Program • Present consistent content across the NARA Records Management Program. • Develop content for agency records staff AND other professionals (Program Staff, Legal Counsel, IT Staff) • Use a modular approach to develop content to tailor courses to the needs of agency customers in headquarters and field units. • Use adult learning techniques to convey material. • Develop on-line capabilities for certification testing and for course content delivery.

  26. Records Management Training Program • Organized around six Knowledge Areas • Records Management Fundamentals • Creating and Maintaining Agency Business Information • Records Scheduling • Schedule Implementation • Asset and Risk Management • Records Management Program Development

  27. Records Management Training Program • Certification • Agency staff who complete each of the Knowledge Areas will be eligible to take a certification exam. • Agency staff who pass certification exams for each Knowledge Area will receive “NARA’s Certificate of Completion in Federal Records Management” signed by the Archivist of the United States. • Agency staff are not required to be certified. • Does not replace other professional certification programs (Certified Records Manager – CRM or Certified Archivist – CA). Provide targeted training to Federal records management professionals.

  28. Records Management Training Program Information and Records Management Professionals Courses • Managing Agency Information • Risk Assessment • Integrating Records Management Into Information Management • Managing Records Responsibly Provide targeted training to: • program managers • legal counsels • information technology professionals

  29. Comments or Questions Paul M. Wester, Jr. paul.wester@nara.gov www.archives.gov

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