NARA & You Update on the ERPWG

1. NARA & YouUpdate on the ERPWG Mark Giguere, Lead IT (Policy & Planning) Office of Records Services – Washington D.C. National Archives & Records Administration RACO West Afternoon Panel

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 President’s Management Agenda’s Expanding Electronic Government initiative. RACO West Afternoon Panel

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. RACO West Afternoon Panel

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) RACO West Afternoon Panel

5. ICGI’s WG • Categorization of Information (Christian) • Web standards (Godwin) • Public Domain Directory • Web Content Standards • Electronic Records Policy (Kurtz) RACO West Afternoon Panel

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). RACO West Afternoon Panel

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 RACO West Afternoon Panel

8. Where we’re 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 ERPWG’s ultimate recommendations to OMB Director/Archivist RACO West Afternoon Panel

9. Where we’re 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 RACO West Afternoon Panel

10. Where we’re 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 RACO West Afternoon Panel

11. Where we’re 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 RACO West Afternoon Panel

12. Where we’re 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 RACO West Afternoon Panel

13. Where we’re 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 RACO West Afternoon Panel

14. Where we’re 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 RACO West Afternoon Panel

15. Where we’re at? (cont.) • ERM Toolkit • ICGI review • Agency review and comment • ICGI approval • Initiate ERM toolkit project RACO West Afternoon Panel

16. Where we’re 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 RACO West Afternoon Panel

17. After that? • Toolkit population • Implementing ICGI recommendations RACO West Afternoon Panel