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Unlocking the Potential of E-Records Management in E-Government

Learn about the E-Records Management Initiative for efficient access, decision-making, and accountability in government. Explore challenges and solution areas including correspondence tracking, enterprise-wide ERM, electronic info Mgmt standards, and more.

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Unlocking the Potential of E-Records Management in E-Government

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  1. e-Records Management How E-Government Is Happening in Electronic Records Management Dr. Mark Giguere, Lead IT (Policy & Planning) Co-Program Manager, ERM Initiative August 31, 2004 RACO West Keynote

  2. ERM Initiative - Background • E-Gov Initiatives • what they are • how they work • E-Records Management (ERM) Initiative • Managing Partner - National Archives & Records Administration RACO West Keynote

  3. Vision • To effectively manage and facilitate access to agency information in order to support and accelerate decision making and ensure accountability. RACO West Keynote

  4. Goals • To integrate e-records management concepts and practices with comprehensive information management policies, processes and objectives to assure the integrity of e-records and information. • To employ ERM to support interoperability, timely and effective decision making, and improved services to customers. • To provide the tools for agencies to access e-records for as long as required and to transfer permanent e-records to NARA for preservation and future use by government and citizens. RACO West Keynote

  5. Challenges • Changing the way the government works as it moves towards ERM • Breadth of Federal agency preparedness to move to ERM • Leading an E-Gov initiative that isn’t IT-oriented RACO West Keynote

  6. Organization of Initiative 4 Issue Areas with Lead Partner Agency • Correspondence Tracking - Dept. of Energy • Enterprise-wide ERM - EPA • Electronic Info. Mgmt. Standards - DoD • Transfer Permanent Records to NARA - NARA RACO West Keynote

  7. Issue Area 1 - Correspondence Tracking • Background • Tracking and coordination of high-level Congressional correspondence was identified during Quicksilver interviews as a major issue for Cabinet-level agencies. • OMB determined the issue should be addressed as part of the E-Records Management Initiative led by NARA. RACO West Keynote

  8. Issue Area 1:Correspondence Tracking • FY 2003 accomplishments: • Limited survey of Cabinet-level agencies to establish agency capabilities and system requirements • Offering of limited pilot use of DOE correspondence portal • Evaluation of need for further activity • FY 2004 – closed by Karen Evans RACO West Keynote

  9. Issue Area 2:Enterprise-wide ERM Lead Partner - EPA Contact: Chris O’Donnell odonnell.chris@epa.gov • Objective: • Provide tools for agencies to use as they plan and implement ERM systems RACO West Keynote

  10. Issue Area 2:Enterprise-wide ERM • FY 2003 Accomplishments • Guidance for Coordinating the Evaluation of Capital Planning and Investment Control (CPIC) Proposals for ERM Applications • FY 2004 Accomplishments • Methodology for Determining Agency - unique Requirements Beyond DoD 5015.2 (v. 2) (forthcoming) RACO West Keynote

  11. Issue Area 3:Electronic Info Mgmt Stds • Lead Partner - DoD Contact: Harriet Riofrio Harriet.Riofrio@osd.mil • Objective: To promote the Federal-wide adoption of the DoD Electronic Records Management Software Application Design Criteria Standard - DoD 5015.2-STD, version 2 RACO West Keynote

  12. Issue Area 3:Electronic Info Mgmt Stdscont. • DoD release of DoD 5015.2 STD version 2.0 for DoD mandatory use - FY 2002 • Adoption of DOD 5015.2 STD version 2.0 for civilian agency use • NARA Bulletin issued 1/15/03 RACO West Keynote

  13. Issue Area 3:Electronic Info Mgmt Stdscont NARA Bulletin 2003-03 • Endorses DoD 5015.2-STD, version 2 for all agencies • Recommends using the DoD standard and the DoD-certified products as a baseline when selecting an RMA to manage the agency's electronic records. RACO West Keynote

  14. Issue Area 3:Electronic Info Mgmt Stds Resources: • NARA Bulletin -http://www.archives.gov/records_management/policy_and_guidance/bulletin_2003_03.html • Information about DoD 5015.2-STD - http://jitc.fhu.disa.mil/recmgt/standards.htm RACO West Keynote

  15. Issue Area 3:Electronic Info Mgmt Stds • Certified product register - http://jitc.fhu.disa.mil/recmgt/register.htm • JITC testing and certification • matsuurs@fhu.disa.mil • http://jitc.fhu.disa.mil/recmgt/ RACO West Keynote

  16. Issue Area 4: Transfer Permanent E-Records to NARA Lead partner - NARA Objectives: • To expand transfer options for permanent electronic records: • formats NARA can accept • the media and techniques for transferring permanent electronic records to the National Archives of the United States • To ensure permanent e-records are preserved RACO West Keynote

  17. Issue Area 4: Transfer Permanent E-Records to NARAcont. • Issue Area 4 FY ’03 Products: • Rule authorizing FTP/DLT transfer mechanisms • 3 new formats accepted (e-mail, scanned images of text, PDF) • XML schemata for transfer RACO West Keynote

  18. Issue Area 4: Transfer Permanent E-Records to NARAcont. • Issue Area 4 FY ’04 Products: • 1 new format issued (digital photography) • 1 new format about to be issued (GIS records) – issued 04/15/04 • 1 new format pending (web site content records) – mid-Sept ‘04 RACO West Keynote

  19. Issue Area 4: Transfer Permanent E-Records to NARA cont. • Further information • Mark.Giguere@nara.gov or 301-837-1744 • Copies of transfer guidance on NARA web site • http://www.archives.gov/records_management/initiatives/email_attachments.html • http://www.archives.gov/records_management/initiatives/scanned_textual.html • http://www.archives.gov/records_management/initiatives/pdf_records.html • http://www.archives.gov/records_management/initiatives/digital_photo_records.html • http://www.archives.gov/records_management/initiatives/digital_geospatial_data_records.html • Check the web site for future products at • http://www.archives.gov/records_management/initiatives/erm_products.html RACO West Keynote

  20. Approved FY ’05 Activities • Issue Area 1 • Closed in FY ’04 • Issue Area 2 • EPA: • Finishing outstanding FY ’04 products • Pilot pilot planning guidance • Pilot ‘lessons learned’ • Potential collaboration with DoI • New FY ’05 products • COTS evaluation criteria/methodology • Enterprise-wide RMA governance structure • NARA: Exhibit 300 checklist for enterprise-wide RMAs • Issue Area 3 • Publishing DoD5015.2-STD (v. 3) for public comment RACO West Keynote

  21. Approved FY ’05 Activities • Issue Area 4 • NARA/State MOU re. SMART system • Pilot transfers • Knowledge management • Archival access • Implementation of significant revision to national training program • Define requirements for potential RM service components for Federal Enterprise Architecture Framework RACO West Keynote

  22. Feedback/Questions? • Visit the initiative’s website • http://www.archives.gov/records_management/initiatives/erm_overview.html • Nancy Allard, co-Program Manager • (301) 837-1477 • Mark Giguere, co-Program Manager • (301) 837-1744 • Carla Patterson, Project Manager • (301) 837-0993 RACO West Keynote

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