How To Utilize NARA’s Resources

1. How To Utilize NARA’s Resources For Your Organization Donna Read, CRM Senior Records Analyst NARA-Southeast Region FGCARMA March 2006

2. What is NARA? In 1985, NARA became an independent agency under the Executive Branch of the Federal government. The National Archives and Records Administration is a public trust on which our democracy depends. We ensure continuing access to essential evidence that documents: • The rights of American citizens • The actions of federal officials • The national experience www.archives.gov

3. What Does NARA Do? Preserve and make available documents and materials created by the United States Federal government. Some of our holdings: • Charters of Freedom • Declaration of Independence • Constitution • Bill of Rights • Emancipation Proclamation • Louisiana Purchase Treaty www.archives.gov

4. Where Is NARA? • Archives I in Washington, DC • Archives II in College Park, MD • 21 Regional records and archive facilities located across the country • 3 Satellite offices - Florida, Texas and New Mexico • 12 Presidential Libraries • 8 Affiliated Archives in 7 states www.archives.gov

5. What Does NARA Have in Common With Non-Federal Entities? We’re all governed by laws that pertain to records. • Federal Records Act of 1950 • Florida Sunshine Law of 1967 • Sarbanes Oxley Act of 2002 www.archives.gov

6. How can we help each other? From NARA’s Strategic Plan: “We will partner with Federal agencies and others to develop, adapt, or adopt products and practices that support good records management. Our experience shows that we are more effective in partnerships than working alone. Potential partners include standards organizations, state and local governments, other countries, and the private sector.” www.archives.gov

7. The Elephant in the Room………Electronic Records • Decline in number of staff specializing in filing • Investment in software functionality that creates records is growing • Mission critical records often not shareable, retrievable, or useable • Copies proliferate: data conflicts or is unreliable • Email replaces phone conversations and meetings • Litigation and discovery costs skyrocketing • Authenticity is questioned • Premature destruction or extended retention www.archives.gov

8. Several Elephants in the Room with Multiple Personality Disorders! • Variety - Over 16,000 formats for e-records • Complexity – Increasingly sophisticated formats • Volume – Vast quantities of records • Obsolescence – Constantly changing technology • User Expectations – Evolving, unrelenting www.archives.gov

9. Anybody Else Having Problems with E-Records???? • Aerospace • Pharmaceuticals • Energy • Transportation • Electronics • Services Actually, every enterprise and individual who has need to access electronic materials beyond 5-10 years. www.archives.gov

10. What is NARA Doing about Electronic Records? The ERA!!! • “The Electronic Records Archives (ERA) will be a comprehensive, systematic, and dynamic means for preserving virtually any kind of electronic record, free from dependence on any specific hardware or software.” www.archives.gov

11. Global Grid Forum NationalScienceFoundation National Partnership for Advanced Computational Infrastructure San Diego Super Computer Center National Computational Science Alliance Army ResearchLaboratory National Institute of Standards & Technology NIST Government and Private Sector Partners www.archives.gov

12. ERA Requirements • Persistent To manage and access the records over time. • Authentic To ensure that these are the original records Records that are created with attached documentary information • Scalable To grow and adapt to increasing volumes and evolving types of electronic records To serve a variety of user groups www.archives.gov

13. Accessioning Workbench Reference Workbench Tapes Disks Archival Research Catalog Archival Repository Accession Collection Query Collection Verify Rebuild Collection Transform, Wrap & Containerize Metadata Present Internet Describe Records Schedules Order Fulfillment System www.archives.gov

14. What Will The System Do? • Protect the system and the records with state-of-the-art security. • Accommodate substantial growth in volume & variety. • Support the collection, integration, and sharing of information about records. www.archives.gov

15. And…. • Support the workflow associated with business processes. • Interoperate with other systems. • Maintain a complete audit trail. www.archives.gov

16. Architecture Requirements • Open Event Driven Architecture • Evolvable • Integrated COTS • Central Business Rule Repository • Distributed / Grid Centric / Self-managing • Secure / Classified As Well As Unclassified • Highly Scaleable In All Dimensions • HW / SW Independent Component Intermediation • Highly Reliable www.archives.gov

17. Where Are We Now on ERA? • On September 8, 2005NARA announced the selection of Lockheed Martin Corporation to build the Electronic Records Archives. • Lockheed Martin Corporation was selected based on the following best value factors: 1) best technical solution, 2) system and software engineering methodology, and 3) management. http://www.archives.gov/era/ www.archives.gov

18. Additional Contact Info for ERA • Fynnette Eaton in College Park, MDfynnette.eaton@nara.gov 1-301-837-2007 www.archives.gov

19. How Does All This Help You? • NARA has issued guidance for dealing with electronic records ………………………..lots of it!!! www.archives.gov

20. Guidance Bulletins • http://www.archives.gov/records-mgmt/bulletins/index.html • Guidance for Building an Effective Enterprise-wide Electronic Records Management (ERM) Structure • Evaluating Commercial Off-the-Shelf (COTS) Electronic Records Management Applications • Transfer of Permanent E-records to NARA • Federal Enterprise Architecture Records Management Profile • Methodology for Determining Agency-unique Requirements • Coordinating the Evaluation of Capital Planning & Investment Control Proposal for ERM Applications ……and more www.archives.gov

21. Guidance for Building an Effective Enterprise-wide Electronic Records Management (ERM) Governance Structure • 19 page document • Defines governance • Tips for good ERM project governance • Essential Elements • Illustrative Model of Governance Bodies at Work • Lessons Learned www.archives.gov

22. Evaluating Commercial Off-the-Shelf (COTS) Electronic Records Management Applications • 32 page document with attachments • Methodology for evaluation • ERM Development process • Analyzing requirements • Setting criteria • Sample product scoring profile • Presenting analysis • Functional requirements • Lessons learned www.archives.gov

23. Transfer of Permanent E-records to NARA Transfer Instructions for: • Existing E-mail Messages with Attachments • Scanned Images of Textual Records • Permanent E-records in Portable Document Format (PDF) • XML schema for RM and archival metadata • Digital Photographic Records • Digital Geospatial Data Records (GIS) • Web Content Records www.archives.gov

24. How Can NARA’s Transfer Instructions Help Me? • They include technical specifications for transfer • Definitions of what is to be included • Documentation that needs to accompany transfers • Formats accepted • Security settings that will allow future access www.archives.gov

25. For Example • Technical Review of Potentially Permanent Digital Geospatial Data – System Information, Data Construction, Technical Documentation….. • Image Quality Specification for Digital Photographic Records – Records created using digital cameras must be captured as 2 megapixel files or greater with a minimum pixel array of 1,600 pixel by 1,200 pixels. www.archives.gov

26. ETC. • For transfer of scanned images of textual records NARA will accept TIFF, GIF, BIIF, and PNG formats. Bitonal (1-bit) scanned at 300-6– ppi, Gray scale (8-bit_ scanned at 300-4– ppi, Color (24-bit RGB [Red, Grenn, Blue]) scanned at 300-4– ppi. www.archives.gov

27. Federal Enterprise Architecture (FEA) Records Management Profile • 72 page document • Framework that overlays 5 other Reference Models • How to use the RM Profile to improve records management • How RM is integrated in the SDLC (Systems Development Lifecycle) • NARA’s endorsement of records management applications www.archives.gov

28. Methodology for Determining Agency-unique Requirements • 15 page document • Requirements classification • Best practices when customizing 5015.2-certified RMA software • Review of existing systems • Review of Infrastructure/It architecture • Stakeholder review www.archives.gov

29. Coordinating the Evaluation of CapitalPlanning & Investment Control Proposal forERM Applications • 11 page document • Management technique used to review and evaluate large federal IT investments • 3 steps to assist with management of an enterprise-wide ERM www.archives.gov

30. Fast Track Guidancehttp://www.archives.gov/records-mgmt/policy/fast-track.html • Overview: Context for Electronic Records Management[ERM] • What is Electronic Recordkeeping [ERK]? • Why Federal Agencies Need to Move Toward Electronic Recordkeeping • Preliminary Planning for Electronic Recordkeeping: Check list for IT Staff • Preliminary Planning for Electronic Recordkeeping: Checklist for RM Staff • Typical Records Management [RM] Functions and Typical RM Program Activities • Examples of System Functions for Electronic Recordkeeping (ERK) and Electronic Records Management (ERM) • Survey of Baseline Organizational Information • Analysis of Costs and Benefits for ERM/ERK Projects • Long version of customizable Electronic Recordkeeping Powerpoint Presentation • Short version of customizable Electronic Recordkeeping Powerpoint Presentation • User's Guide for Electronic Recordkeeping Powerpoint Presentation www.archives.gov

31. General Records Schedule http://www.archives.gov/records-mgmt/ardor/records-schedules.html 25 Schedules for commonly generated records from Payroll to Information Technology Operations www.archives.gov

32. Frequently Asked Questions About Records Management http://www.archives.gov/records-mgmt/faqs/ • FAQs About Records Management in General • FAQs About Federal Records Management • FAQs About Records Management Training • FAQs About Scheduling and Disposition • FAQs About Records Inventories • FAQs About Optical Media • FAQs About Imaged Records • FAQs About Irradiated Mail • Additional Records Management Assistance www.archives.gov

33. Miscellaneous Guidance • Guidance for flexible scheduling • Technical Guidelines for Digitizing Archival Materials for Electronic Access: Creation of Production Master Files – Raster Images • Records Storage Facility Standards www.archives.gov

34. Training http://www.archives.gov/records-mgmt/training/ 6 Knowledge Areas of Records Management www.archives.gov

35. If you are a Federal Entity • Targeted Assistance is available to you. • A customer driven, problem-solving approach to records management www.archives.gov

36. Other Resources • www.arma.org • www.aiim.org • www.saa.org • www.frma.org • ISO 15489 • DoD 5015.2 • MoReq www.archives.gov

37. Thank you very much Donna Read, CRM Senior Records Analyst NARA-Southeast Region Palm Harbor, Florida 727-781-0568 Donna.read@nara.gov www.archives.gov