# Presentation: 394464

## Archives II, College Park
August 27, 2003

**August 27, 2003**

## Slide 2

## Slide 3

## Why we are here
Overview of NARA’s mission
Definition of a record
Records Life Cycle
NARA interface with customer organizations

- Overview of NARA’s mission
- Definition of a record
- Records Life Cycle
- NARA interface with customer organizations

***Agenda***

## Purpose of Today’s Session 

- Help System Integrators to understand NARA’s current mission oriented business processes
- Improve system integrator ability to respond to ERA RFP
- Answer questions about NARA’s business

## “The National Archives ... is a public trust on which our democracy depends. It enables people to inspect for themselves the record of what government has done. It enables officials and agencies to review their actions and help citizens to hold them accountable. It ensures continuing access to essential evidence that documents:
the rights of American citizens
the actions of Federal officials
the national experience”

**the rights of American citizens**
**the actions of Federal officials**
**the national experience”**

***NARA’s Mission***

## Empirically: an instrument or byproduct of an activity, retained because of relevance to continued activity.
Formally: Recorded information made or received during the course of agency business or under law 
Regardless of medium
Kept because it
Provides evidence of organization, functions, policies, decisions, procedures, operations, or other activities of their creators, or
Contains valuable information
Derived from 44 U.S.C. 3301

**Formally: Recorded information made or received during the course of agency business or under law **
**Regardless of medium**
**Kept because it**
**Provides evidence of organization, functions, policies, decisions, procedures, operations, or other activities of their creators, or**
**Contains valuable information**
**Derived from 44 U.S.C. 3301**

***What is a Record?***

## A record in digital form, requiring the use of a computer

***What is an Electronic Record?***

## Records Lifecycle

- Originator

***Records Lifecycle***

## Lifecycle Management Processes 

- Accession

## Slide 11

## Agenda

**Responsibilities of the Life Cycle Management Division**
**Definition of a Federal record**
**Appraisal theory**
**Appraisal and Scheduling practice**

***Agenda***

**Notes:**
 During the brief time I have today, I will give an overview of the following topics:

>Responsibilities of the Life Cycle Management Division

>Definition of a Federal record with a few examples

>Appraisal theory (what is the theory behind making decisions about what makes a record permanently valuable and worthy of continuing preservation at the National Archives?)

>Appraisal and scheduling practice (beyond theory--how do we actually go about scheduling actual records created by real live agencies?)

## Life Cycle Management DivisionResponsibilities 

**Appraisal and Scheduling of Records**
**Development of General Records Schedules**
**Technical Assistance**** **

***Life Cycle Management Division******Responsibilities****** ***

**Notes:**
The Life Cycle Management Division's primary responsibility is scheduling and appraising Federal records, but other duties include:

>Developing General Records Schedules (which is a way of scheduling broad categories of records common to many Federal agencies.  I'll talk about this a little more later in the presentation)

>Providing technical assistance to agencies on records creation, management, and disposition issues.  

## Life Cycle Management DivisionResponsibilities

**Evaluations or inspections **
**Training**
**Special Projects**

***Life Cycle Management Division******Responsibilities***

**Notes:**
We also in the past have conducted evaluations of Federal records management programs in order to recommend improvements or necessary corrective actions.

It is likely that we will resume conducting evaluations or inspections under some new records management initiatives that will be discussed later this afternoon.

Our division is also often called upon to participate in special projects regarding records and records management issues.  One such project, called the Records System Analysis, included some of my division's staff studying in detail designated functional work processes  in agencies.

There are now about 45 of us to cover the whole government.  We also have a sister component in our Office of Regional Records Services that handles regional records issues.

## Federal Records Act
defines a record as “all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the Government  or because of the informational value of the data in them.”

**defines a record as**** *****“all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the Government  or because of the informational value of the data in them.”***

***Definition of a Federal Record***

**Notes:**
The Federal Records Act defines a record as “all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the Government  or because of the informational value of the data in them.”

Excluded from the definition of records are library and museum material made or acquired and preserved solely for reference or exhibition, extra copies of documents preserved only for convenience of reference, and stocks of publications.

## 
All books, papers, maps, photographs, machine readable materials, or other documentary materials

Regardless of physical form or characteristics

 Made or received

**All books, papers, maps, photographs, machine readable materials, or other documentary materials**
**Regardless of physical form or characteristics**
** ****Made or received**

***Definition of a Federal Record***

**Notes:**
All books, papers, maps, photographs, machine readable materials or other documentary materials.  This is to indicate that just about anything can take on record status.

Regardless of physical form or characteristics.  This reinforces the notion that anything can be a record.  In other words, just because it is not a piece of paper,doe not mean it is not a record.

Made or received.  Documents that do not originate in any agency may still have record status.  For example, if an agency receives reports from another agency, those reports may be considered records in both the transmitting and receiving agency.

## 
Under Federal law or in connection with the transaction of public business

Preserved or appropriate for preservation

Because of the informational value of the data in them

**Under Federal law or in connection with the transaction of public business**
**Preserved or appropriate for preservation**
**Because of the informational value of the data in them**

***Definition of a Federal Record***

**Notes:**
Under Federal law or in connection with the transaction of public business.  Some records are specifically required by law.  A good example is the census.  Most records, however, are the result of the normal conduct of agency business.

Preserved or appropriate for preservation.  Preserved deals with the act of incorporation into an organized file structure.  

Because of the informational value of the data in them.  Agencies collect a lot of information in the course of their normal business.  At times, that information takes on values beyond that for which it was originally collected.  The Census information is a good example.  Census information is collected for determining Congressional representation, but the information collected has been used for years for genealogical research, social history research, and other uses.

## 
  Agency directives

  E-mail messages

  Databases

  Reports and memorandums

**  ****Agency directives**
**  ****E-mail messages**
**  ****Databases**
**  ****Reports and memorandums**

***Definition of a Federal Record******	******General Examples***

**Notes:**
Some generic types of examples of records include:

agency directives

many (but certainly not all) e-mail messages

databases

reports and memorandums

## Data on workforce trends collected by the Department of Labor

Grant Case Files from the National Endowment for the Humanities

Aerial photography from the National Imagery and Mapping Agency

**Grant Case Files from the National Endowment for the Humanities**
**Aerial photography from the National Imagery and Mapping Agency**

***Definition of a Federal Record******	******Agency-Specific Examples***

**Notes:**
Some agency-specific types of records include:

Data on workforce trends collected by the Department of Labor

Grant Case Files from the National Endowment for the Humanities.  It should be noted that many records, such as a grant case file, consist of many types of different records that make up a case file.  Record types for a grant case file might include reports, memorandums, e-mails, faxes, financial forms, and correspondence, among other types.

Aerial photography collected by the National Imagery and Mapping Agency is another example of a record.

## Appraisal 

	The process of determining the value and thus the final disposition of Federal records, making them either temporary or permanent.

**	****The process of determining the value and thus the final disposition of Federal records, making them either temporary or permanent.**

***Appraisal Theory******Definition******	***

**Notes:**
When we speak about "appraisal" at the National Archives, what we mean is the process of determining the value and thus the final disposition of Federal records, making them either temporary or permanent.

  By "disposition" (and that is a phrase you will hear a lot), we mean what happens to the record when it is no longer needed for current agency business.  Is it transferred to inactive or offline storage space?  Is it destroyed?  Is it transferred to the National Archives as a permanent record?

What we don't get to do as appraisers is assign dollar values to the records we are examining.  

## Value of records varies

Vast majority are temporary

Many temporary covered by the General Records Schedules

Other, agency unique records, may also be temporary

**Vast majority are temporary**
**Many temporary covered by the General Records Schedules**
**Other, agency unique records, may also be temporary**

***Appraisal Theory******	******Temporary Records******	***

**Notes:**
The value of Federal records varies.  The vast majority of records are of value only to the agency and only for a limited period of time.  Perhaps as much as 40% of all the records that are created are facilitative and housekeeping in nature.   

Nevertheless, these records are important for the day-to-day operation of an agency.  They are also important to current and former employees.  

Contracts.  Procurement. Travel. Payroll and benefits.  These types of records accumulate in vast quantities.

By and large, we relay on the General Records Schedules, which I have already mentioned, to cover these routine records common to many agencies.  The GRS is issued by NARA and is mandatory, although we may grant exceptions.  There are 25 different general records schedules, divided mainly by functional area, such as personnel, security, procurement, and other such administrative areas.

Other agency records, while unique to their agency, may still be determined to have temporary value only.  

## Archival Value

	The enduring historical or other value, as determined by the Archivist of the United States, that warrants NARA’s continued preservation of records beyond the period required to transact the current business of the agency.    Also known as “permanent records.”

**	****The enduring historical or other value, as determined by the Archivist of the United States, that warrants NARA’s continued preservation of records beyond the period required to transact the current business of the agency.    Also known as ****“permanent records.”**

***Appraisal Theory******	******Archival Value******	***

**Notes:**
The enduring historical or other value, as determined by the Archivist of the United States, that warrants NARA’s continued preservation of records beyond the period required to transact the current business of the agency.

Records determined to have archival value are designated on records disposition schedules as "Permanent records."

What the National Archives is looking for when we designate records as archival (or permanent) are records that will be usable to those doing retrospective documentary research, such as historians, political scientists, economists, sociologists, genealogists, journalists, lawyers, and others who study the past.

## 
Includes records that:

Document the rights of citizens

Document the actions of Federal officials

Document the national experience

**Includes records that:**
**Document the rights of citizens**
**Document the actions of Federal officials**
**Document the national experience**

***Appraisal Theory******Archival Value***

**Notes:**
Some Federal records provide evidence of the legal status, rights and obligations of states, individuals, and groups.  Most of these records are temporary.  In a few instances, however, the importance of records for protecting legal rights endures despite the passage of time.  Records falling into this category should be preserved permanent, such as ENTER EXAMPLE.

NARA seeks to retain records that contain SIGNIFICANT documentation of Government activities, that are essential to understanding and evaluating Federal actions.  NARA retains permanently those records which document the following:  the basic organizational structure of Federal agencies, policies and procedures that pertain to an agency's core mission; and key agency decisions and actions.  This type of value is also knows as EVIDENTIAL VALUE, in so far that these records are evidence of how an agency carried out its mission.

NARA also seeks to retain some records documenting the impact of Federal actions on individuals, communities, or the natural and man-made environment.  The Government also crates and acquires much information about people, places, material objects, and scientific phenomena, as well as about social conditions, political and economic activities, and events in the U.S and other countries.  Some of this may be appraised as permanent.

    These latter types of records could be considered to have INFORMATIONAL value, in so far that their value lies in the information they contain, regardless of what Federal entity created it.   

## Examples of typical permanent records include:

   Organization Charts
   Minutes of Boards and Commissions
   Selected Data
   Legal Opinions
   Directives
   Analytical Studies
   Publications
   Selected Audiovisual Records

**   ****Organization Charts**
**   ****Minutes of Boards and Commissions**
**   ****Selected Data**
**   ****Legal Opinions**
**   ****Directives**
**   ****Analytical Studies**
**   ****Publications**
**   ****Selected Audiovisual Records**

***Appraisal Theory******Examples of Permanent Records***

**Notes:**
The following are examples of some types of records that are often (although not always) appraised as permanent:
   Organization Charts
   Minutes of Boards and Commissions
   Selected Data
   Legal Opinions
   Directives
   Analytical Studies
   Publications
   Selected Audiovisual Records

Because of the wide variety of records accumulated by the Government and because of differences in agency organizations, functions, and recordkeeping systems, the above list is neither a comprehensive list of the types of records deemed permanent, nor are all of these records permanent in all agencies.

## When appraising records, questions asked:

 Significance of records for research?
 Significance of source and context of records?
 Is the information unique?
 How usable are the records?
 Are the records related to other permanent             records?
And other questions....

** ****Significance of records for research?**
** ****Significance of source and context of records?**
** ****Is the information unique?**
** ****How usable are the records?**
** ****Are the records related to other permanent             records?**
***And other questions....***

***Appraisal Theory******Factors****** ***

**Notes:**
In making appraisal determinations, appraisers consider such questions as:

How significant are the records for research?  Future research value is difficult to determine.  What is of relatively low research use today may become of great research value tomorrow.  

How significant is the source and context of the records?  The significance of the functions and activities performed by the originating agency or agencies and the business context within which the records are created are important considerations.

Is the information unique?  Appraisals are conducted in context with other records.  Are the records under consideration the only source of the information?

How usable are the records?  Are they arranged or indexed in such a way to be accessible?  Are there technical considerations that affect the usability of the records?  

Are the records related to other permanent records?  Other things being equal, records that add significantly to the meaning or value of accessioned records or other records already appraised as permanent are more likely to warrant retention than records lacking such a relationship.

These are just a few of the issues that appraisers address when making important decisions about which records will be deemed worthy of continued preservation in the National Archives.

## Theory derived from:
Archival literature
Experience

Theory embodied in:
NARA Appraisal Policy (draft)
Appendix C, Appraisal Guidelines, Disposition of Federal Records (on NARA’s website)

**Archival literature**
**Experience**
**Theory embodied in:**
**NARA *****Appraisal Policy (*****draft*****)***
**Appendix C, Appraisal Guidelines, *****Disposition of Federal Records (*****on NARA’s website*****)***

***Appraisal Theory******Guidelines****** ***

**Notes:**
This theory that I have briefly reviewed is derived from archival literature and the years of experience accumulated by NARA staff.

The theory is set out in a document entitled "Appraisal Policy of the National Archives and Records Administration," which is currently in draft form only.

Additional information about records of permanent value can be found in Appendix C, Appraisal Guidelines for Permanent Records, in our Disposition of Federal Records: A Records Management Handbook.  This publication, which not only covers issues related to permanent records, but many, many other topics related to Federal records management is located on our website at www.archives.gov in the records management publications section.

## Agency submits a Standard Form SF-115, Request for Records Disposition Authority
NARA registers and tracks
Site visit to review records (where necessary)
Ensure any records of archival value designated

**NARA registers and tracks**
**Site visit to review records (where necessary)**
**Ensure any records of archival value designated**

***Appraisal and Scheduling Practice******General Process***

**Notes:**
So, what is the process through which agencies seek authority to dispose of temporary records and through which NARA appraises and designates certain records as having permanent or archival value?

The vehicle through which this is done is the Standard Form, SF-115, Request for Records Disposition Authority, also known as a schedule or records schedule.  Schedules are generally submitted by the agency with the legal custody of the records that are covered.    

A schedule provides authority for both recurring records; that is, records that the agency will be creating for the foreseeable future, as well as any complete bodies of nonrecurring records that the agency has.  (Such as records for an office which has been abolished.)

A schedule includes descriptions of the records and proposed dispositions, including retention periods for temporary records.

Schedules can be arranged by organization, function, or a combination of these.

After receiving the schedule,  NARA registers it and enters some data about it into an automated tracking system

Then an appraiser may make a site visit to review records (where necessary).

   During site visits or other review of the schedule, the appraiser makes determinations about records that archival value. ///////////

## Review temporary dispositions for adequacy
Report -- circulated for internal review
External comments solicited --Federal Register notice
Comments resolved
Signed by the Archivist of the United States

**Report -- circulated for internal review**
**External comments solicited --*****Federal Register***** notice**
**Comments resolved**
**Signed by the Archivist of the United States**

***Appraisal and Scheduling Practice******General Process***

**Notes:**

  An appraiser also reviews temporary dispositions to ensure that the retention periods are adequate to ensure the legal rights and accountability of the Govt. and U.S. citizens. ////  In other words, if an agency proposes that records be kept for merely three years, is this a sufficient amount of time to meet the government's and the public's needs?

 The appraiser then writes a report describing and justifying the proposed dispositions.  This report is sent for concurrent review to several internal NARA units who have previously requested to see the schedule.  These units may include many of the people you will be hearing from later this morning and this afternoon, including the Federal records centers that may be storing the records, the unit that processes and declassifies permanent records that are transferred to NARA,and the reference units that provide access to the records to the public.

At the same time this is happening, if the schedule contains proposed temporary records, a brief notice of the schedule and its contents is posted to the Federal Register so that any member of the public or organization has the right to request a copy of the schedule and the appraisal report and make comments.

Once all internal and external comments (if any) are resolved, the schedule is sent through the chain of command for signature by the Archivist of the United States.

I just want to emphasize that until that schedule is signed the agencies have no authority to dispose of or transfer any records.  The Archivist of the United States is the only person in the U.S. Government who can authorize the destruction of Federal records.

## Office of the Chief of Protocol Schedule
High profile office in a significant Department
Involved site visit and included external interest
  Covered 29 series of records
20 temporary
9  permanent

**High profile office in a significant Department**
**Involved site visit and included external interest**
**  ****Covered 29 series of records**
**20 temporary**
**9  permanent**

***Appraisal and Scheduling Practice******Department of State-Chief of Protocol Example***

**Notes:**
In 1998, the Department of State submitted a schedule covering records created by its Office of the Chief of Protocol.

The Office of the Chief of Protocol advises the president and other high-ranking officials on matters of protocol; plans and arranges Presidential delegations abroad, handles visits from heads of foreign governments, plans and arranges official functions given by the Secretary of State and other high-ranking officials, among other duties.

This is clearly a high profile activity largely unique to the Department of State.  There is also researcher interest in the records generated by this function.

I conducted a site visit to make my appraisal recommendations.  I spent I would say about 2, 2 1/2 hours with the staff of the office.  Even though I had, of course, conducted background research on the office, I had the staff explain their function, how it related to overall Dept. of State activities, and other government activities.  Such background helps an appraiser make more informed appraisal judgements.  I then reviewed the schedule and looked at the records themselves in order to answer the questions I listed earlier in the appraisal theory section of this presentation.

Ultimately 20 items ended up being appraised as temporary and nine as permanent.

You'll notice that despite the obvious likelihood that the Chief of Protocol would certainly have a certain amount of permanent records, we did not merely declare that all records of the function are permanent.  In other words, we were not appraising the function itself, but the records created by this function.  In doing so, we zeroed in on the most valuable records.  For the little time spent upfront, this will save the Department, the National Archives, and therefore the taxpayer a significant amount of money given the costs associated with maintaining, transferring, accessioning, processing, describing, preserving, and making available permanent records.  These cost skyrocket if the records are classified and require declassification review prior to being opened to the public, or are subject to any other type of screeening under the Freedom of Information Act.

## Sample series and dispositions

1.  Official and State Functions Files:  Documents reflecting arrangements for official functions given by the Secretary of State, the Vice President....Included are U.S. Presidential inaugurals, state funerals....

DISPOSITION:  PERMANENT.  Transfer to the National Archives when 25 years old.

**1.  **_**Official and State Functions Files**_**:  Documents reflecting arrangements for official functions given by the Secretary of State, the Vice President....Included are U.S. Presidential inaugurals, state funerals....**
**DISPOSITION:  PERMANENT.  Transfer to the National Archives when 25 years old.**

***Appraisal and Scheduling Practice******Department of State-Chief of Protocol Example***

**Notes:**
What I have up on the screen is the text of an item from this schedule covering files related to high-level official functions, such as inagurals, state funerals, memorial services, etc.  The records found in these paper files include guest lists, seating charts, menus, and often briefing memorandums and copies of prepared remarks.  

These records warrant permanent preservation since these unique document one of the Chief of Protocol's most important and visible functions (These records have evidential value, in other words).  Also, these records have informational value due to the high level and significance of the functions documented.  Some of the items also probably have exhibit value, such as invitations and other items associated with inaugurals and some state funerals, such as those of former presidents.

## Sample series and dispositions

2.  Gift Authorization Forms:  Original copies authorizing the purchase of items to give as gifts by the President, Vice President, and Secretary of State.

DISPOSITION:  Temporary.  Destroy when 3 years old.

**2.  **_**Gift Authorization Forms**_**:  Original copies authorizing the purchase of items to give as gifts by the President, Vice President, and Secretary of State.**
**DISPOSITION:  Temporary.  Destroy when 3 years old.**

***Appraisal and Scheduling Practice******Department of State-Chief of Protocol Example***

**Notes:**
The Gift Authorization Forms, on the other hand, did not meet the test of having archival value.  Although what gifts were given out while Presidential delegations were traveling abroad may be of historical interest, the information contained in these forms is already captured in another series of records designated as permanent: one called Travel Files,which contain the gift information along with much more substantive information regarding Presidential and other high-ranking government travel abroad.  

In this case, though, even though I agreed with the Department's temporary disposition, the original retention period suggested by the Dept. had the Gift Authorization Forms being destroyed upon being entered into an electronic system.  As it turns out, however, they were not entering into the database the name of the official who authorized the purchase, nor did they capture the official's signature. Therefore, NARA required that before approval the retention period be extended to three years for audit purposes.

So, you can see here how, like I had discussed in the appraisal theory, if the information is available elsewhere it may be appraised as temporary in one of the cases.

## NATIONAL AUTOMATED IMMIGRATION LOOKOUT SYSTEM (NAILS)

Mission critical online interactive application that facilitates the inspection and investigation processes by providing quick and easy retrieval of biographical data or case data on individuals who may be inadmissible to the United States.  The system contains the names and reference data on violators and suspected violators....

A.  System inputs.  Major inputs include...lookout records from the Detention and Deportation Branch....

TEMPORARY.  Destroy/delete after data has been transferred to the master file.

**Mission critical online interactive application that facilitates the inspection and investigation processes by providing quick and easy retrieval of biographical data or case data on individuals who may be inadmissible to the United States.  The system contains the names and reference data on violators and suspected violators....**
**A.  System inputs.  Major inputs include...lookout records from the Detention and Deportation Branch....**
**TEMPORARY.  Destroy/delete after data has been transferred to the master file.**

***Appraisal and Scheduling Practice******Department of Homeland Security******Electronic Records Example***

## 
 B.  System data:  Types of data elements include the record number, alien file number, name of the person....

 (1)  Complete system.   PERMANENT.  Transfer a copy of the data to NARA in blocks of 5 fiscal years when the data is 10 years old.

 (2)  Public use version.  Consists of a redacted copy with personal identifiers removed.  PERMANENT.  Transfer a copy.....

Schedule includes more items........

** ****B.  System data:  Types of data elements include the record number, alien file number, name of the person....**
** ****(1)  Complete system.   PERMANENT.  Transfer a copy of the data to NARA in blocks of 5 fiscal years when the data is 10 years old.**
** ****(2)  Public use version.  Consists of a redacted copy with personal identifiers removed.  PERMANENT.  Transfer a copy.....**
***Schedule includes more items........***

***Appraisal and Scheduling Practice******Department of Homeland Security******Electronic Records Example***

## 
Stay Tuned

Two presentations later today 
	(see the agenda for times):

Records Management Initiatives

Business Process Reengineering (BPR)

**Stay Tuned**
**Two presentations later today **
**	****(see the agenda for times):**
**Records Management Initiatives**
**Business Process Reengineering (BPR)**

***Appraisal and Scheduling Practice******Upcoming Changes***

**Notes:**
Currently, NARA is undergoing changes to some of what I discussed this morning.

More about this will be reviewed this afternoon at the two presentations listed on the slide.

## Slide 35

## 

 NARA ENSURES, FOR THE CITIZEN AND THE PUBLIC SERVANT, FOR THE PRESIDENT AND FOR THE CONGRESS AND THE COURTS, READY ACCESS TO ESSENTIAL EVIDENCE 

-  NARA ENSURES, FOR THE CITIZEN AND THE PUBLIC SERVANT, FOR THE PRESIDENT AND FOR THE CONGRESS AND THE COURTS, READY ACCESS TO ESSENTIAL EVIDENCE

**Mission**

## Accession and receive records that have been transferred into the National Archives 
Maintain the storage of unprocessed classified records
Prepare series descriptions and finding aids for classified and unclassified accessioned records
Process classified records after an agency review 

- Maintain the storage of unprocessed classified records
- Prepare series descriptions and finding aids for classified and unclassified accessioned records
- Process classified records after an agency review

***Division Functions***

## Perform declassification review in accordance with agency guidelines and E.O. 12958 (as amended) on records that require it
Facilitate the referral process for archival documents with multi-agency equity
Withdraw and store sensitive documents that still require protection
Maintain a classified database that documents provenance for documents that are still sensitive and require protection

- Facilitate the referral process for archival documents with multi-agency equity
- Withdraw and store sensitive documents that still require protection
- Maintain a classified database that documents provenance for documents that are still sensitive and require protection

***Division Functions***

## The process that transfers legal and usually physical custody of records from a Federal agency to the National Archives
Only records scheduled as PERMANENT (about 3% of all Federal records) are accessioned
Disposition instructions from an approved records schedule govern when records are eligible for accessioning

- Only records scheduled as PERMANENT (about 3% of all Federal records) are accessioned
- Disposition instructions from an approved records schedule govern when records are eligible for accessioning

***Archival Accessioning***

## Either NARA or the creating agency may initiate the accessioning process
NWMD accessions records from two primary sources:
Records stored at the WNRC
Direct Offers from agencies
Last year NWMD accessioned 41530 cubic feet of textual records
A Standard Form 258 “Agreement to Transfer Records to the National Archives of the United States” documents the accessioning process

- NWMD accessions records from two primary sources:
**Records stored at the WNRC**
**Direct Offers from agencies**
- Last year NWMD accessioned 41530 cubic feet of textual records
- A Standard Form 258 “Agreement to Transfer Records to the National Archives of the United States” documents the accessioning process

***Archival Accessioning***

## The SF 258 is completed and signed by the agency records officer and NWMD
The records are delivered to NARA
The records are shelved, verified, and assigned an entry number(s)
Basic information about the records is recorded in the Master Location register
In consultation with reference units, records may be selected for additional description

- The records are delivered to NARA
- The records are shelved, verified, and assigned an entry number(s)
- Basic information about the records is recorded in the Master Location register
- In consultation with reference units, records may be selected for additional description

***Accessioning - Steps***

## Process of establishing intellectual control over the holdings of an archives.
Archival principles of provenance and original order govern description activities
In NWMD description usually occurs at the file series level
A series is a group of similar records from a single source arranged in a consistent pattern
Additional description is created as needed to enhance access to the records

- Archival principles of provenance and original order govern description activities
- In NWMD description usually occurs at the file series level
- A series is a group of similar records from a single source arranged in a consistent pattern
- Additional description is created as needed to enhance access to the records

***Archival Description***

## Series descriptions and other finding aids have been compiled in a variety of formats over time
Preliminary Inventories
NARS A-1 database
Various Word Processing Formats
The NAIL database (and associated input formats)
NARA is now beginning to capture series descriptions in the Archival Research Catalog

- Preliminary Inventories
- NARS A-1 database
- Various Word Processing Formats
- The NAIL database (and associated input formats)
- NARA is now beginning to capture series descriptions in the Archival Research Catalog

***Archival Description***

## NARA usually receives classified material from two sources:
The classified stacks at Washington National Records Center
Direct shipment from agency
Division maintains classified material processing areas and records storage stacks

- The classified stacks at Washington National Records Center
- Direct shipment from agency
- Division maintains classified material processing areas and records storage stacks

***Declassification***

## NWMD processes those accessions that have been identified as having high researcher interest
In coordination with reference staff
priority lists are developed based on record group
Personnel are assigned to perform the declassification processing often in conjunction with archival description

- In coordination with reference staff
- priority lists are developed based on record group
- Personnel are assigned to perform the declassification processing often in conjunction with archival description

***Declassification Processing***

## NWMD normally processes records that have already undergone declassification review
Agencies have already physically identified those records
Some agencies have elected not to perform declassification review
Some agencies no longer exist and do not have successors to perform review

- Agencies have already physically identified those records
- Some agencies have elected not to perform declassification review
- Some agencies no longer exist and do not have successors to perform review

***Declassification Processing***

## NWMD staff quickly review records to see if obvious sensitive information has been missed
Staff members record information about still classified documents in Archives Declassification Review and Redaction System
Staff then withdraws sensitive documents from material that can be released
NWMD consults with on-site other agency reviewers should questions arise about the status of a document

- Staff members record information about still classified documents in Archives Declassification Review and Redaction System
- Staff then withdraws sensitive documents from material that can be released
- NWMD consults with on-site other agency reviewers should questions arise about the status of a document

***Declassification Processing***

## Withdrawn material is placed in separate envelope and box.
Staff creates declassification project labels and withdrawn items labels.
Declassified records are then moved to the open stacks	
Reference Staff make records available to researchers

- Staff creates declassification project labels and withdrawn items labels.
- Declassified records are then moved to the open stacks
- Reference Staff make records available to researchers

***Declassification Processing***

## Slide 49

## Slide 50

## Accessions permanent electronic records

- Preserves electronic records
- Provides access to electronic records

**Notes:**
Many know  us as the Center For Electronic Records.  

At this time, we are electronic and special media in name only.  The Division accessions electronic and other nontextual media.  Beyond an integrated accessioning and initial processing phase however functions split according to media.  Access and preservation of records on electronic media remains with the Division and access and preservation of other nontextual media passes to the Access Program and more specifically Special Media Archives Services Division

This functional split occurred for a number of reasons: because of the unique characteristics of electronic records; economies of scale in regards to equipment used in the preservation of electronic records (electronic preservation equipment is relatively expensive and highly specialized); a large reservoir of staff expertise located in the Center for Electronic Records; and that these are truly modern records (unlike textual records where accessioning may occur 30 years after creation of the records, because of the fragility of the media and the ease by which electronic records are duplicated for agency use, electronic records may be accessioned by NARA soon after cut-off by the agency

## Transfer Standards (36 CFR 1228.270)

** ****9-track open reel tapes**
** ****3480 cartridges**
** ****FTP & DLT**
** ****CD-ROMS**

**Transfer Standards (36 CFR 1228.270)**

**Notes:**
The Division accessions many different media formats

	-------Electronic (For the most part unreadable to the humans without specialized equipment and knowledge)
	-------We accept three electronic media formats.  CFR describes formats in detail.
	-------3480 Tape Cartridges is our preservation format.  Records on 9-track open reels and CD-ROM are copied the 3480 tape cartridges.
	--------The Division also also accessions still photographs, motion pictures, maps, and aerial photography records.

In fact we can accept virtually any type of media DLT tape, floppies, etc.  Anything for which we have a drive.

## Transfer of custody to the National Archives

Documentation for data files

Other finding aids necessary to use the records

**Documentation for data files**
**Other finding aids necessary to use the records**

***Accessions permanent electronic records***

**Transfer Standards (36 CFR 1228.270)**

**Notes:**
	-------All agencies transfer legal ownership of permanent records to the National Archives according the disposition requirements of the records.  Within legal restrictions, such as national security and exceptions to the Freedom of Information Act (mostly pertaining to privacy) the records are made available to public researchers.
	------Agencies typically transfer appropriate finding aids to the records along with the records, but in the case of electronic records, additional documentation is required.  Since the records are not “eye-readable” NARA needs adequate technical documentation to understand the records.  These include record layouts, data element definitions, code translation tables and other technical manuals

## Transfer Standards (36 CFR 1228.270)

**Independent of specific hardware and software**
**No compressed data**
**ASCII or EBCDIC**
**Text files in ASCII or SGML**
**Digital spatial data according to FIPS Standard 173-1**

***Accessions permanent electronic records***

**Notes:**
	------Electronic records transferred to the National Archives must be independent of specific hardware and software. The data must not arrive compressed since compression programs are usually dependent on software.

	-------Database and text files should be in ASCII or EBCDIC and database files should be flat files.  

	-------Our primary concern is permanent access to the records.  The the fullest extent possible we want to be certain that future machines will be able to process the data next year, in five years, in two hundred years. In that way, all public researchers may be able to use and interpret the records using the latest or most appropriate software
	-------Obvious problems are now occurring with text files and the newer publishing software especially web-based software is that if we require just ASCII text files do we then lose the unique graphics enhancements to the documents and therefore a picture of the document as it existed when it was used.

## Transfer Standards  (36 CFR 1228.270) supplemental  guidance –http://www.archives. gov/records_management/initiatives/ erm_products.html)

**Transfer instructions for existing email with attachments**
**Transfer instructions for existing scanned images of permanent records**
**Transfer instructions for permanent PDF**

***Accessions permanent electronic records***

**Notes:**
	------Electronic records transferred to the National Archives must be independent of specific hardware and software. The data must not arrive compressed since compression programs are usually dependent on software.

	-------Database and text files should be in ASCII or EBCDIC and database files should be flat files.  

	-------Our primary concern is permanent access to the records.  The the fullest extent possible we want to be certain that future machines will be able to process the data next year, in five years, in two hundred years. In that way, all public researchers may be able to use and interpret the records using the latest or most appropriate software
	-------Obvious problems are now occurring with text files and the newer publishing software especially web-based software is that if we require just ASCII text files do we then lose the unique graphics enhancements to the documents and therefore a picture of the document as it existed when it was used.

## Initial preservation   steps	

**Master and backup copy**
**Tapemap and dump**
**Data verification**
**Storage**

***Preserves electronic records***

**Notes:**
	------Again, unlike paper records, the accessioning of electronic records requires unique preservation activities.  
	-------A master and backup copy of the tape or disk is made.  
	-------As part of the copying process, a tape map and dump is printed.  A tape map prints the metadata, the file and field characteristics, so the archivist can match what is on the tape with the documentation provided by the agency.  And a tape dump is the printing of a block or more of data to determine the integrity of the data.
	------To ensure that the actual data on the tape matches the file and field characteristics described in the documentation and the tape map and dumps, the data is verified on a system called AERIC, which stands for Automated Electronic Records Inspection and Control System.
	------Finally, the records are stored in an environment that is approximately 65 degrees F and 45% relative humidity.

## Continuous   preservation	

**10-year recopying activities**
**Periodic sampling**
**Environmental controls**

***Preserves electronic records***

**Notes:**
	------Permanent electronic records require constant monitoring.    
	-------We copy all of our files to new media every ten years.  Again, at this time, it is 3480 cartridges.
	-------We do a random sample of all of our holdings.  We test for deterioration and readability.
	------Finally, the records are stored in an environment that is approximately 65 degrees F and 45% relative humidity.

## Finding aids and records	

**Title list**
**Special reference reports**
**Technical documentation**
**Website: ****http://www.archives.gov/ research_room/media_formats/electronic_records.html**
**Data available over the internet: AAD and casualty reports**

***Provides access to electronic records***

**Notes:**
	------We have a number of finding aids for researchers

	-----With the exception of the technical documentation they are all located on our website.

	------The Title list lists our files at the file level within Record Group.  
	------We have reference reports on our most significant holdings:  Census records, military casualty records and action reports, Securities and Exchange insider trading records.  Demographic, attitudinal data
	------We have selected fields from our state-level casualty lists

## Reference services	

**Datafile copy**
**Researcher assistance**
**Responses to inquiries**
**Record-level access to selected databases**

***Provides access to electronic records***

**Notes:**
On-line information:  Korean Conflict Casualty File (KCCF), 1950-1957; Combat Area Casualties Current File (CACCF).  These files were compiled by OSD for memorialization purposes

## Enhance electronic records verification
Textual records verification

Preserve diverse records formats	
Digital images; PDF; Email Attachments

High volume
Increase speed and capacity of systems and media

Increase access options
Access to Archival Databases

**Textual records verification**
**Preserve diverse records formats****	**
**Digital images; PDF; Email Attachments**
**High volume**
**Increase speed and capacity of systems and media**
**Increase access options**
**Access to Archival Databases**

***Current challenges***

## Let’s talk

Michael R. Carlson

THANK YOU!

**Michael R. Carlson**
**THANK YOU!**

***Communications***

**Notes:**
Thank you very much and I hope you have a successful.

I will field any questions if we have time for some.

## Slide 62

## Agenda

***New Formats and Status***
***Technical Processing***
***Archival Processing***

***Agenda***

**Notes:**
 During the brief time we have together, I will give you an overview of the goals for today’s presentation, discuss the electronic records challenge, discuss NARA’s response to this challenge, how we plan to succeed, and what the ERA timeline looks like.

## Agenda

***Scanned Textual Images***
***PDF***
***Future Formats***
***Summary***

***Agenda***

**Notes:**
 During the brief time we have together, I will give you an overview of the goals for today’s presentation, discuss the electronic records challenge, discuss NARA’s response to this challenge, how we plan to succeed, and what the ERA timeline looks like.

***ERM E-Gov Initiative***

**ERM: Electronic Records Management**
** ****1 of 24 E-Gov Initiatives**
** ****Transfer of new electronic formats to NARA**
** ****Active participation of partner agencies**
** ****Staged, measured approach – learn as we go**

**Notes:**
 As I’m sure you are all well aware that we are facing an electronic records challenge in the nation and specifically in the federal government.  With the rapid evolution of information, technology has produced large, ever-increasing volumes of diverse, and complex digital records.

Currently, there is no system to preserve all types of digital records over time.

And because there is no system the federal government is losing digital records on a daily basis.

The lose of these records inhibits the nation from preserving it’s rights, entitlements, and history in electronic form.  If you want to make it more personal I can rephrase the statement and say the lose of these records inhibit the nation from preserving your rights, entitlements, and history in electronic form.

Since NARA’s mission is to preserve the history of this Nation it is our responsibility to address the electronic records challenge.

For a moment lets focus on the elements of this challenge.  The 1st element that is clear and present is  the large volume of records agencies are creating and NARA is or will be ultimately responsible for.

The Clinton Administration transferred  40 million email messages that created in just one of its systems during the eight year administration.

The State Department has created 25 million electronic diplomatic messages.

On an annual basis the Dept. of Defense creates an estimated 54 million images from electronic official military personnel files.

And the Census Bureau has created 600 to 800 million image files from the 2000 Census.

Not only are these records large in volume they are all diverse and unique to their particular agency.  Individually that may not be such a big deal but there are approximately 400 agencies in the federal government and NARA is responsible for preserving the permanently valuable records for all of them, even without electronic records we a have big job so when you add electronic records to the mix the job is tremendous.  

So we have the volume, the diversity, and on top of all of that technology is forever changing.  From what I understand technology changes every 18 months and its unpredictable.  Sounds challenging?  Well it is.

## New Formats and Status

***New Formats and Status***

**Test Transfer Cycles**
-  **Email with Native attachments**
**Guidance to Records Officers published**** ****09/30/02**
** ****Scanned Textual Images**
** ****Guidance published 12/23/02**
** ****PDF**
** ****Guidance published 03/31/03**

**Notes:**
So after much evaluation the Archivist of the United States, John Carlin, decided since times were changing,  NARA had to change with the times.

In order to continue fulfilling our mission to preserving the Nation’s history we had no choice but to respond to this challenge.  That response was to create a program that would strategically manage the building of an electronic system that would enable NARA to preserve and provide access to any type of electronic record created anywhere in the federal government.

And so the ERA program was created.

## New Formats and Status

***New Formats and Status***

**Test Transfer Cycles**
** ****Current cycle: Digital Photography**
**(“handheld” camera images – not satellite or other specialized image formats)**
** ****Test transfer cycle in process**
** ****Guidance expected 11/12/03**

**Notes:**
So after much evaluation the Archivist of the United States, John Carlin, decided since times were changing,  NARA had to change with the times.

In order to continue fulfilling our mission to preserving the Nation’s history we had no choice but to respond to this challenge.  That response was to create a program that would strategically manage the building of an electronic system that would enable NARA to preserve and provide access to any type of electronic record created anywhere in the federal government.

And so the ERA program was created.

## Technical Processing

***Technical Processing***

** ****Ability to read and access media and files**
** ****Standard preservation copying through APS**
** ****Changes with new formats:**
**  ****Many files, individual files can be large**
** ****Documentation (tape maps, etc)**
** ****Reporting**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Archival Processing

***Archival Processing***

**Ability to access document**
**Judgment of document legibility, viewability, functionality, etc.**
** ****Quality of finding aids, indexes, etc. and correlation to documentation**
**Note unusual or potentially troublesome       characteristics**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Email Guidelines

***Email Guidelines***

**In addition to traditional paper, NARA will now accept**
**Standard Markup Language with delimiters to identify subject, etc.**
**DoD 5015.2 RMA output preferred**
**Attachments in native formats, main message and headers should be ASCII**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Email Guidelines

***Email Guidelines***

**Properly Scheduled**
**Transfer Documentation (number of files, file sizes, etc.)**
**Descriptive documentation, Indexes, Finding aids, etc.**
**	****For more information:**
**      ****http://www.archives.gov/records_management/initiatives/ email_attachments.html**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Scanned Textual Images

***Scanned Textual Images***

** ****NARA will now accept **
**  ****TIFF 4.0-6.0, GIF, BIIF, PNG**
** ****Uncompressed preferred; if not, must use lossless method**
** ****Acceptable Image Quality**
** ****Bitonal (1-bit) at 300-600 ppi**
** ****Gray scale (8-bit) at 300-400 ppi**
** ****Color (24-bit RGB) at 300-400 ppi**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Scanned Textual Images

***Scanned Textual Images***

- Properly Scheduled
- Transfer Documentation (number of files, file sizes, etc.)
- Descriptive documentation, Indexes, Finding aids, etc.
- OCR equivalents if available
-   **For more information:****  http://www.archives.gov/records_management/initiatives/scanned_textual.html**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## PDF documents

***PDF****** ******documents***

**Versions 1.0 through 1.4 (Adobe through 5.0)**
**No security settings which disallow view **
**No unembedded fonts **
**No special features, annotations, digital signatures**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## PDF documents

***PDF documents***

**No external or internal links**
**Image quality per scanned image specs**
**OCR equivalents if available; no OCR processes which modify original document (e.g. “PDF Searchable Image Exact” vs. “PDF Normal”)**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## PDF documents

***PDF****** ******documents***

- Properly Scheduled
- Transfer Documentation (number of files, file sizes, etc.)
- Descriptive documentation, Indexes, Finding aids, etc.
**For more information:**
**  ****http://www.archives.gov/records_management/initiatives/pdf_records.html**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Future Formats

***Future Formats***

-  **Geographic Information Systems**
**	****November ’03 – April ’04**
**  ****Web Pages**
**	**
**April ’04 – September ’04**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Summary

***Summary***

**Measured approach that balances classic archival principles and 21****st**** century technical needs**
**Focus on integrity of records as supplied rather than long-term preservation or conversion activities**
**Questions and Comments?**

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Slide 79

## Slide 80

## Slide 81

## Agenda

***Key Statistics and Accomplishments***
***Fee-for-service based program***
***RCP and ERA***
***Advantages, Goals, Levels of Service***

***Agenda***

**Notes:**
 During the brief time we have together, I will give you an overview of the goals for today’s presentation, discuss the electronic records challenge, discuss NARA’s response to this challenge, how we plan to succeed, and what the ERA timeline looks like.

## Records Center Program Overview

**Records Center Program Overview**

**Notes:**
 As I’m sure you are all well aware that we are facing an electronic records challenge in the nation and specifically in the federal government.  With the rapid evolution of information, technology has produced large, ever-increasing volumes of diverse, and complex digital records.

Currently, there is no system to preserve all types of digital records over time.

And because there is no system the federal government is losing digital records on a daily basis.

The lose of these records inhibits the nation from preserving it’s rights, entitlements, and history in electronic form.  If you want to make it more personal I can rephrase the statement and say the lose of these records inhibit the nation from preserving your rights, entitlements, and history in electronic form.

Since NARA’s mission is to preserve the history of this Nation it is our responsibility to address the electronic records challenge.

For a moment lets focus on the elements of this challenge.  The 1st element that is clear and present is  the large volume of records agencies are creating and NARA is or will be ultimately responsible for.

The Clinton Administration transferred  40 million email messages that created in just one of its systems during the eight year administration.

The State Department has created 25 million electronic diplomatic messages.

On an annual basis the Dept. of Defense creates an estimated 54 million images from electronic official military personnel files.

And the Census Bureau has created 600 to 800 million image files from the 2000 Census.

Not only are these records large in volume they are all diverse and unique to their particular agency.  Individually that may not be such a big deal but there are approximately 400 agencies in the federal government and NARA is responsible for preserving the permanently valuable records for all of them, even without electronic records we a have big job so when you add electronic records to the mix the job is tremendous.  

So we have the volume, the diversity, and on top of all of that technology is forever changing.  From what I understand technology changes every 18 months and its unpredictable.  Sounds challenging?  Well it is.

## RCP Overview

**Office of Regional Records Services**
**Implements NARA’s programs throughout the United States**
**Records Center Program**
**Records Management Operations**
**Archival Operations**
**Operates 19 facilities**
**16 regional facilities**
**3 national facilities**
**Employs 1,100 FTE**** **

## Regional Records Centers

***RCP Overview***

**Notes:**
Baseline Services --> Committed to Quality
Staffing up to ensure that we meet and exceed baseline standards
FY2001 - 92%
FY2000 - 79%
FY1999 - 81%

Added new QC staff to ensure that you receive exactly what was requested

Ongoing special projects
HUD HOC
VA Active files in San Bruno and Seattle

Technical Assistance

## RCP Overview

**FY 2002 Accomplishments**
**Accessioned nearly 2 million cubic feet**
**Disposed of nearly 1 million cubic feet **
**Provided over 13 million reference requests**
**Provided over 5 million photocopies**
**Serviced over 500,000 interfiles**
**Enhanced usability of INFORM**
**Expanded storage capacity**
**Initiated transactional billing**
**Expanded service capabilities**

## RCP Overview

**Goal of Records Center Program**
- To be the records service provider of choice for the Federal government

## RCP Overview

**Revolving Fund**
**Program is 100% reimbursable**
**Supported entirely from fees charged to Federal agencies**
**All revenues and expenses will be paid into and from the revolving fund**
**Revolving fund to be audited annually by independent auditing firm**

## RCP Overview

**Why Fee-for-service?**
**Appropriated funds did not keep up with demand for records center services**
**Records Center holdings have grown at 2.5% annually, or 500,000 cu. ft. per year**
**General government trend toward associating costs with the users of those services**
**Encourage competition and provide choices to Federal agencies**

## RCP Overview

**Authority**
**Public Law 106-58:  There is hereby established . . . a revolving fund . . . to provide for storage and related services for all temporary and pre-archival Federal records, which are to be stored at Federal National and Regional Records Centers by agencies and other instrumentalities of the Federal Government.**** **

## RCP Overview

**Authority**
**Public Law 106-58:  The Fund shall be credited with user charges received from other Federal Government accounts as payment for providing personnel, storage, materials, supplies, equipment, and services**.

## RCP Overview

**Advantages**
**Reimbursable funding allows NARA to provide better records center services to agencies**
**Additional space**
**Better quality space**
**Improved records services**
**New tools to access records services**

## RCP Overview

**Competition is encouraged**
**Competition provides better services at a reduced cost**
**Agencies have choices concerning the storage of their records**
**NARA sets standards for the storage of Federal records (36 CFR Part 1228)**
**NARA has implemented an inspection program to ensure the proper storage of Federal records**

## The Records Center Program and ERA

**The Records Center Program and ERA**

**Notes:**
 As I’m sure you are all well aware that we are facing an electronic records challenge in the nation and specifically in the federal government.  With the rapid evolution of information, technology has produced large, ever-increasing volumes of diverse, and complex digital records.

Currently, there is no system to preserve all types of digital records over time.

And because there is no system the federal government is losing digital records on a daily basis.

The lose of these records inhibits the nation from preserving it’s rights, entitlements, and history in electronic form.  If you want to make it more personal I can rephrase the statement and say the lose of these records inhibit the nation from preserving your rights, entitlements, and history in electronic form.

Since NARA’s mission is to preserve the history of this Nation it is our responsibility to address the electronic records challenge.

For a moment lets focus on the elements of this challenge.  The 1st element that is clear and present is  the large volume of records agencies are creating and NARA is or will be ultimately responsible for.

The Clinton Administration transferred  40 million email messages that created in just one of its systems during the eight year administration.

The State Department has created 25 million electronic diplomatic messages.

On an annual basis the Dept. of Defense creates an estimated 54 million images from electronic official military personnel files.

And the Census Bureau has created 600 to 800 million image files from the 2000 Census.

Not only are these records large in volume they are all diverse and unique to their particular agency.  Individually that may not be such a big deal but there are approximately 400 agencies in the federal government and NARA is responsible for preserving the permanently valuable records for all of them, even without electronic records we a have big job so when you add electronic records to the mix the job is tremendous.  

So we have the volume, the diversity, and on top of all of that technology is forever changing.  From what I understand technology changes every 18 months and its unpredictable.  Sounds challenging?  Well it is.

## RCP and ERA

**Preparation for ERA Implementation**
**Vision is to support agency needs and support life cycle management of Federal records**
**Using future ERA capacity, be open to many possibilities for services**
**Fee-for-service is a prerequisite**

## RCP and ERA

**Importance to NARA and RCP**
**Electronic Records Storage and Services is part of NARA’s suite of records management services**
**Maintain capacity to serve all phases of life cycle**
**Raise NARA’s visibility as a provider of electronic records services**
**“****Post-paper” plan for RCP**

## RCP and ERA

**Advantages to Agencies**
**State-of-the art storage and servicing system**
**Preserve electronic records over time, avoiding migration costs**
**Single source of storage services for paper and electronic records**
**Confidence in continued authenticity of stored records**
**Confidence that records will be managed by NARA experts.**
**Ease of access to services**
**Permanent records will be accessioned directly within ERA**
**Ease of access to RMA-compliant systems**
**Access to classified storage capacity**
**Automated application of litigation freezes and releases**

## RCP and ERA

**Advantages to NARA**
**Records are maintained to protect rights and accountability**
**Permanent records are protected and more easily accessioned**
**Knowledge of and involvement with agencies in life-cycle management of electronic records**
**Opportunity for RCP to remain competitive and marketable**
**Enhance NARA’s leadership role in support of E-Gov and other initiatives**
**Assistance to agencies in using standard-compliant RMAs, which in turn supports ease of records preservation**
**Reduce risk related to estrayed e-records**
**Provides a staging area or “triage” for permanent records**

## RCP and ERA

**Six RCP Electronic Records Goals:**
**1.  Identify customers and their needs **
**2.  Develop incremental services at increasing levels of  complexity (basic, intermediate and advanced)**
**3.  Establish fee schedules to cover or offset new services costs**
**4.  Enhance knowledge and skill sets of Record Center staff**
**5.  Be an active partner in the development of ERA**
**6.  Integrate RCP e-Records program with other NARA lifecycle management activities**

## RCP and ERA

**Level One--**
**Basic Storage of Electronic Records**
**Identify basic services to support media storage**
**Environmentally controlled area**
**Multi-media storage equipment**
**Example:  Storage of CD-ROMS**

**Notes:**
Concentrate on electronic records from Agency business or mission operations that must be maintained for 5 or more years.

Survey existing NARA customers that store e-records or media within the RCP to identify and assess current e-records and gather customer needs and e-Records requirements.  

Ensure RCP information systems are consistent with NARA technical and information architectures.

Market and publicize e-records services as they become available via the Regional Centers websites, local and regional conferences, workshops, meetings and educational sessions.  Publicize success stories, best practices, and happy customers.

Provide temporary storage or staging areas for appraisal, processing, analysis and servicing of temporary, unscheduled, pre-accessioned and/or permanent e-records prior to full acceptance into the ERA system.  

## RCP and ERA

**Level Two--Intermediate**
**Data administration service**
**including back-up/recovery**
**Reference service**
**via Customer’s e-System **
**Example:  RCP to continue pilot with DoD e-OMPF this year**

**Notes:**
Concentrate on electronic records from Agency business or mission operations that must be maintained for 5 or more years.

Survey existing NARA customers that store e-records or media within the RCP to identify and assess current e-records and gather customer needs and e-Records requirements.  

Ensure RCP information systems are consistent with NARA technical and information architectures.

Market and publicize e-records services as they become available via the Regional Centers websites, local and regional conferences, workshops, meetings and educational sessions.  Publicize success stories, best practices, and happy customers.

Provide temporary storage or staging areas for appraisal, processing, analysis and servicing of temporary, unscheduled, pre-accessioned and/or permanent e-records prior to full acceptance into the ERA system.  

## RCP and ERA

**Level Three--Advanced**
**On-line access, reference, servicing**
**Metadata augmentation**
**Functional management (via RMA technology)**
**On-line back-up, recovery**
**Automated accession of permanent e-records to ERA’s Archival side**
**Reference services via NARA e-repositories**
**Internet capability for all RCP servicing**

**Notes:**
Concentrate on electronic records from Agency business or mission operations that must be maintained for 5 or more years.

Survey existing NARA customers that store e-records or media within the RCP to identify and assess current e-records and gather customer needs and e-Records requirements.  

Ensure RCP information systems are consistent with NARA technical and information architectures.

Market and publicize e-records services as they become available via the Regional Centers websites, local and regional conferences, workshops, meetings and educational sessions.  Publicize success stories, best practices, and happy customers.

Provide temporary storage or staging areas for appraisal, processing, analysis and servicing of temporary, unscheduled, pre-accessioned and/or permanent e-records prior to full acceptance into the ERA system.  

## Looking to the Future

**Thank You!**
**David W. Weinberg**
**Director, Records Center Program**
**RCP Website: www.archives.gov/records_center_program/index.html**

**Notes:**
Provide temporary storage or staging areas for appraisal, processing, analysis and servicing of temporary, unscheduled, pre-accessioned and/or permanent e-records prior to full acceptance into the ERA system.
Understand the various NARA stakeholders for metadata requirements, recordkeeping practices, inventories, and enabling technologies, coordinating with respective entities.  
Refine and update as necessary, RCP requirements for the ERA system.
Obtain advice and support from NWM, NWME, and NWML to assist with the development of RCP e-records systems, services and capabilities.
Continue to contribute to the development and refinement of ERA requirements. 

Current Activities:

a. NR will specifically ask agencies about their needs and requirements for RCP electronic records storage and services as part of a marketing initiative scheduled for late-2003 and 2004.

b. NR personnel submitted consolidated requirements list to ERA program management office.

## Slide 104

## Agenda

***Types of Requests***
***Records in NWCTF Custody***
***Freedom of Information Act***
***NARA’s Responsibilities under the FOIA***
***FOIA Process***
***System Needs***

***Agenda***

**Notes:**
 During the brief time we have together, I will give you an overview of the goals for today’s presentation, discuss the electronic records challenge, discuss NARA’s response to this challenge, how we plan to succeed, and what the ERA timeline looks like.

## NWCTF’s Mission

**NWCTF’s Mission**

***NWCTF’s****** ******Mission***

**Notes:**
So after much evaluation the Archivist of the United States, John Carlin, decided since times were changing,  NARA had to change with the times.

In order to continue fulfilling our mission to preserving the Nation’s history we had no choice but to respond to this challenge.  That response was to create a program that would strategically manage the building of an electronic system that would enable NARA to preserve and provide access to any type of electronic record created anywhere in the federal government.

And so the ERA program was created.

## Types of Requests

- Freedom of Information Act (FOIA) requests for archival records.
- Mandatory Review of requests of classified information under E.O. 12958, as amended.
- Special Screening Requests.

## Records in NWCTF Custody

- Records of Special Counsels.
- Watergate Special Prosecution Force.
- Waco Special Counsel.

## Records in NWCTF Custody

- Records of closed Independent Counsels (RG 490).
- Iran/Contra Investigation.
- Whitewater/Filegate/Monicagate, etc.

## Records in NWCTF Custody

- Records of Temporary Boards and Commissions that contain classified or sensitive, non-classified information.
- Warren Commission (part of the JFK Assassination Records Collection).
- Webster Commission.

## Records in NWCTF Custody

- Sensitive electronic records from various Federal agencies.
- Executive Office of the President: 28 million Clinton Administration e-mails.
- E-mail and databases created by various Independent Counsels.
- Classified State Department cables.
- Imaged documents (Pardon Attorney files).

## Freedom of Information Act5 U.S.C. 552

**What is the FOIA?**
- Disclosure statute.
- Provides for access to executive branch records.
- Excludes judicial, legislative, state, and local records.

## NARA’s Responsibilities under FOIA

**Comply with statutory time limits.**
**“****First-in, first-out”**
**Multi-track processing.**
**Expedited Processing**
**Conduct a reasonable search for all responsive records.**
**Release all information not otherwise exempt under FOIA, making discretionary disclosures when appropriate.**

##        FOIA Process	Time Limits

- 20 working days from the date of receipt.
- “Unusual circumstances” :  all agencies to invoke 10 additional working days.
- Location or volume of records.
- Need to consult with external party.
- Requestor may immediately seek appeal/and or judicial review after 20 days has expired.

## FOIA Process “First in, first out” 

- Process FOIA requests in the order they are received.
- Courts allow agencies to do so within multiple tracks depending on type of requests.

## FOIA Process Multi-track processing

- NARA has two basic processing queues:
**Simple**: Routine action requests. Able to provide answer to  requester within 20 working day time limits of the FOIA.
**Complex:** Request requires in-depth research or responsive records require extensive review. Unable to provide reply to requester within 20 working days.

## FOIA Process Final Determination

**Release In Full:**
**There is no sound legal basis for withholding.**
**Withhold in Full:**
**The entire document contains exempt information that cannot be reasonably segregated.**
**Release in Part:**
**Exempt information can be reasonably redacted and non-exempt information released.**** **

## FOIA Process:Redaction

- Exempted information in individual documents blacked out.
- Redacted copy annotated with applicable FOIA Exemption.
- Redacted documents created in ADRRES or URTS systems using Highview Software from Vredenburg.

## System Needs

**NWCTF System Needs**
- FOIA case tracking.
- Storage of both classified and sensitive but unclassified electronic records (both “born digital” and imaged documents).
- On-line redaction.
- Reports and statistics.

## Slide 120

## The Presidential Records Act (PRA)(44 U.S.C. Chapter 22)

**The PRA changed the notion of Presidential materials from donated collections to public property. **
_**Presidential Records**_** - All historical materials that document the constitutional, statutory, or other official or ceremonial duties of the President.**
**NARA takes custody of the records when the President leaves office.**
*** ***

***The****** ******Presidential****** ******Records****** ******Act****** (******PRA******)******(******44****** ******U.S.C******. ******Chapter****** ******22******)***

**Notes:**
 During the brief time we have together, I will give you an overview of the goals for today’s presentation, discuss the electronic records challenge, discuss NARA’s response to this challenge, how we plan to succeed, and what the ERA timeline looks like.

## Upon taking custody of Presidential records NARA assumes responsibility for responding to special access requests for material.

These requests can come from Congress, courts of competent jurisdiction, or from the incumbent President as part of ongoing government business.

NARA must be able to search and retrieve records responsive to these requests in a timely manner.

**These requests can come from Congress, courts of competent jurisdiction, or from the incumbent President as part of ongoing government business.**
**NARA must be able to search and retrieve records responsive to these requests in a timely manner.**

***Special***** *****Access***

**Notes:**
 As I’m sure you are all well aware that we are facing an electronic records challenge in the nation and specifically in the federal government.  With the rapid evolution of information, technology has produced large, ever-increasing volumes of diverse, and complex digital records.

Currently, there is no system to preserve all types of digital records over time.

And because there is no system the federal government is losing digital records on a daily basis.

The lose of these records inhibits the nation from preserving it’s rights, entitlements, and history in electronic form.  If you want to make it more personal I can rephrase the statement and say the lose of these records inhibit the nation from preserving your rights, entitlements, and history in electronic form.

Since NARA’s mission is to preserve the history of this Nation it is our responsibility to address the electronic records challenge.

For a moment lets focus on the elements of this challenge.  The 1st element that is clear and present is  the large volume of records agencies are creating and NARA is or will be ultimately responsible for.

The Clinton Administration transferred  40 million email messages that created in just one of its systems during the eight year administration.

The State Department has created 25 million electronic diplomatic messages.

On an annual basis the Dept. of Defense creates an estimated 54 million images from electronic official military personnel files.

And the Census Bureau has created 600 to 800 million image files from the 2000 Census.

Not only are these records large in volume they are all diverse and unique to their particular agency.  Individually that may not be such a big deal but there are approximately 400 agencies in the federal government and NARA is responsible for preserving the permanently valuable records for all of them, even without electronic records we a have big job so when you add electronic records to the mix the job is tremendous.  

So we have the volume, the diversity, and on top of all of that technology is forever changing.  From what I understand technology changes every 18 months and its unpredictable.  Sounds challenging?  Well it is.

## Access Review

**The records will be subject to the Freedom of Information Act (FOIA) 5 years after the President leaves office.**
**PRA restrictions and FOIA exemptions apply to the records during the next 7 years.  After the end of the 12 year period FOIA exemptions still apply.**
**Line-by-line, page-by-page review**
**Notification of the former President and incumbent President prior to release of any material (began under E.O. 12667, now under guidelines established by E.O. 13233)**

***Access****** ******Review***

**Notes:**
So after much evaluation the Archivist of the United States, John Carlin, decided since times were changing,  NARA had to change with the times.

In order to continue fulfilling our mission to preserving the Nation’s history we had no choice but to respond to this challenge.  That response was to create a program that would strategically manage the building of an electronic system that would enable NARA to preserve and provide access to any type of electronic record created anywhere in the federal government.

And so the ERA program was created.

## Sample FOIA requestsfrom the George Bush Library

**All material related to the diplomatic and military response by the US to the Iraqi invasion of Kuwait on 2 August 1990**
**Material related to budget negotiations between the Bush administration and Congress, 1989-1990 (including the Bipartisan Budget Agreement, the 1990 Budget Summit, and the Omnibus Budget Reconciliation Act of 1990)**
**Material related to Millie (the Bushes’ English Springer Spaniel), including **_**Millie’s Book**_

***Sample****** ******FOIA****** ******requests******from****** ******the****** ******George****** ******Bush****** ******Library***

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Slide 125

## Overview 

***Reference  ***
***Research rooms ***
***Statistics ***
***Public access PC’s***
***Reference interactions***
***Reference assistance***
***Physical access***

***Agenda***

**Notes:**
 During the brief time we have together, I will give you an overview of the goals for today’s presentation, discuss the electronic records challenge, discuss NARA’s response to this challenge, how we plan to succeed, and what the ERA timeline looks like.

##   NARA holds hundreds of millions of records.
 Textual documents
  Aerial photographs
  Architectural and engineering drawings
  Charts
  Electronic data files
  Maps
  Microforms
  Motion pictures and sounds recordings
  Still pictures
  Video recordings

** ****Textual documents**
**  ****Aerial photographs**
**  ****Architectural and engineering drawings**
**  ****Charts**
**  ****Electronic data files**
**  ****Maps**
**  ****Microforms**
**  ****Motion pictures and sounds recordings**
**  ****Still pictures**
**  ****Video recordings**

***Overview***** - *****What***** *****is***** *****NARA*****?**

**Notes:**
 As I’m sure you are all well aware that we are facing an electronic records challenge in the nation and specifically in the federal government.  With the rapid evolution of information, technology has produced large, ever-increasing volumes of diverse, and complex digital records.

Currently, there is no system to preserve all types of digital records over time.

And because there is no system the federal government is losing digital records on a daily basis.

The lose of these records inhibits the nation from preserving it’s rights, entitlements, and history in electronic form.  If you want to make it more personal I can rephrase the statement and say the lose of these records inhibit the nation from preserving your rights, entitlements, and history in electronic form.

Since NARA’s mission is to preserve the history of this Nation it is our responsibility to address the electronic records challenge.

For a moment lets focus on the elements of this challenge.  The 1st element that is clear and present is  the large volume of records agencies are creating and NARA is or will be ultimately responsible for.

The Clinton Administration transferred  40 million email messages that created in just one of its systems during the eight year administration.

The State Department has created 25 million electronic diplomatic messages.

On an annual basis the Dept. of Defense creates an estimated 54 million images from electronic official military personnel files.

And the Census Bureau has created 600 to 800 million image files from the 2000 Census.

Not only are these records large in volume they are all diverse and unique to their particular agency.  Individually that may not be such a big deal but there are approximately 400 agencies in the federal government and NARA is responsible for preserving the permanently valuable records for all of them, even without electronic records we a have big job so when you add electronic records to the mix the job is tremendous.  

So we have the volume, the diversity, and on top of all of that technology is forever changing.  From what I understand technology changes every 18 months and its unpredictable.  Sounds challenging?  Well it is.

## Washington D.C. area +

- Regional Archives +
- _Presidential Libraries_ =
- 33 Locations                            around the country

***NARA***** *****is***** *****Everywhere***

## The National Archives is not a Library!

***Reference***

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Archives I:

**  ****Textual **
**  ****Microfilm**
**Archives II:**
**  ****Textual**
**   ****Microfilm**
**  ****Still Pictures**
**  ****Motion Pictures and Sound Recordings**
**  ****Cartographic and Architectural**
**  ****Electronic Records**
**  ****Classified Records**
**Washington National Records Center**
**  ****Textual**

***Research***** *****Rooms***

## USERS

**As of July, 2003, 9,048 cards issued**
**76,989 Visits to Research Rooms so far this year**

**USERS**

***Statistics******Washington***** *****DC***** *****Area***

## 24 Public Access PCs in the Washington, D.C. area 

**E-mail  **
**On-line Searching  **
**NARA Web site  **
**ARC**

***Public***** *****Access***** *****PCs***

## How requests reach us:

**How requests reach us:**
-   **Telephone**
**  ****Letters and Faxes **
**  ****E-mails (*****Inquire@NARA.GOV*****) **
**  ****On-site Researchers**
**  ****NARA Web Site**
**  ****Publications**

***Reference***** *****Interactions***

## MAY I HELP YOU?

- 1.  Researchers are highly encouraged to do homework.
- 2.  Archivist must listen for the unasked questions.
- 3.  “Don’t tell me what records you want, tell me what
-      information you need.”
- 4.  We approach research as a partnership.

**MAY I HELP YOU?**

***Initial***** *****Interview***

## TOOLS

** ****Archival Research Catalog (ARC)**
** ****Microfilm resources for research**
** ****NARA Web site**
** ****Published finding aids**
** ****Inventories**
** ****Special lists, box lists, folder lists, accession dossiers, Access to Archival Databases (AAD****)  **

**TOOLS**

***Research***** *****Assistance***

## Requirements

**You must at least 14 years of age to obtain a researcher card.**
**Valid photo ID**
**Proof of current address**

***Physical***** *****Access******Research***** *****Orientation***

## Clean Research Room Policy

**No Pens**
**No Glue**
**No Scissors**
**No Coats, bags, or purses**
**We provide paper and pencils**
**We provide lockers**
**Please turn off cell phones and pagers when in a research room**

***On-site***** *****Research***** *****Requirements***

## OPEN FOR BUSINESS

**OPEN FOR BUSINESS**

***Hours***** *****of***** *****Operations***

## Slide 139

## NARA’s Custodial Program for Electronic Records 

**Computer-readable data: a new form of primary documentation in the 20th Century**
**NARA has been preserving and providing access to electronic records for close to 35 yrs**
**Holdings reflect diversity of the U.S. Federal Government**
- now approx **200,000** files
- most accessioned electronic records _**to date**_     are data files

## Traditional Access Services for NARA’s Electronic Records

**Staff respond to requests using descriptive materials, admin records, data file documentation, and experience**** **
**if NARA has electronic records of interest, researcher is encouraged to review documentation, onsite or in copies **
**researcher orders copy of file(s) on removable media (cost-recovery), in accord with tenets of the FOIA, and uses records with own computing hardware and software**
**if need is for specific records within files, staff retrieve specific records from files, if feasible, on behalf of researcher**

## Use of Archival Electronic Records Data Files for Analysis

**By academic social scientists and historians, private sector consultants, government analysts, legal professionals, media **
**Recent example: Stellman, Jeanne *****et al, ***** “The Extent and Patterns of Usage of Agent Orange and Other Herbicides in Vietnam,”  NATURE, April 17, 2003. Gives revised estimates, based on data [from NARA’s electronic and textual records] that almost double the previous estimates for the amount of dioxin sprayed in South Vietnam.**

## WHY Offer Online Access?

**T**raditional services meet most needs of analysts, **but not** the needs of those who **seek specific records**
**H**aving staff offer **customized search and retrieval** of specific records **is labor intensive**
**U**biquity of personal computing has led to **rising public expectation for online access to archival electronic records**

## AAD:  Access to Archival Databases<http://www.archives.gov/aad>

- February 12, 2003:**  ****“Soft” public rollout**
- Online search and retrieval access to **50,000,000** records from **33 archival series,**** **in approx **350 files**
- Series selected for AAD access have releasable records; identify specific persons, places, events, transactions, etc.
- e.g.:  **suitable for public, online, record-****	****	****	****level search and retrieval**

## AAD:  Access to Archival Databases<http://www.archives.gov/aad>

- AAD includes series and files descriptions; some scanned documentation that is downloadable
- Option to view online and/or print individual records with decoded meanings
- Option to download raw data records in a <csv> file
- AAD is accessible 24 / 7, at no charge

## AAD: Access to Archival Databases <http://www.archives.gov/aad>

**“****Soft” rollout phase (Feb-March, 2003)**
- # of AAD “successful queries” **eclipsed traditional demand** beyond scalable comparison, with manageable impact on reference staff workload
- 22 % of electronic records reference requests answered by referring researcher to AAD for own search

## AAD: Access to Archival Databases <http://www.archives.gov/aad>

- April 4, 2003: the Associated Press (AP) ran a story on AAD: de facto public rollout
- Number of AAD “visitors” and “successful queries” escalate immediately after AP story

## Slide 148

## AAD Experiences: May - July, 2003

**Greatest demand: records about people****                (see handout)**
**Daily queries + visitors: May 12- Aug 10**
** ****successful queries average 1120 per day**
** “****virtual visitors” average 1340 per day**
**19 %**** ****of all electronic records reference requests [N=435]:**** AAD-related [less than 1% of “visitors”]**
**29 %**** ****of all responses [N=536]:**** referred requestor **
**	****to AAD**

## Slide 150

## What Have We Learned from Offering Online Access to Electronic Records?

**P**reparing electronic archival data records and their metadata for online access is labor intensive
**government records supported Federal agency programs, research, regulation, information collection, etc. and generally were not created with posterity nor any external use in mind**
**O**n-going effort needed to maintain resources online

## Lessons Learned  - 2

- Reinforces earlier experiences
- new online services rarely displace demand for existing services
- new online services raise expectations for more new services
- online access expectations reflect text-based nature of most web information
- using electronic **data records** is an unfamiliar experience for many people

## What Else Have We Learned ?

- Staff need flexibility and experience to meet new challenges and to blend in new services
- Ever-present hardware + software “upgrading” and lack of nonproprietary standards will be a continual challenge
- Online users need help with the capabilities they have on their own hardware: firewalls, browsers, etc.

## Expectations for Access to NARA’s Electronic Records

**Continue answering researcher requests (by email, post, phone, in-person, etc), **
**refer requestors to online resources as appropriate**
**Continue offering copies of files **
**on removable media, suitable for contemporary technologies, on a cost-recovery basis**
**as a result of “finding” records in AAD, some AAD users  are ordering their own copies of the files**

## Access Expectations - 2

**Continue to support online search and retrieval for a selection of NARA’s electronic structured data records through AAD**
**Other online access resources will be needed as NARA accessions other types of electronic records**
**Develop infrastructure for media-less transfer of files**

## For More Information

**Contact the reference services staff, Electronic and Special Media Services Div.**
**email:  CER@NARA.GOV**
**reference telephone: 301-837-0470**
**www.archives.gov/research_room/center_for_electronic_records/table_of_contents.html**

## Slide 157

## Slide 158

## Records Management InitiativesAgenda

**Principle**
**Records Management Initiatives**
**The Old Model**
**Current Areas of Focus**

***Records****** ******Management****** ******Initiatives******Agenda***

**Notes:**
 During the brief time we have together, I will give you an overview of the goals for today’s presentation, discuss the electronic records challenge, discuss NARA’s response to this challenge, how we plan to succeed, and what the ERA timeline looks like.

## GOALS
Federal agencies economically and effectively manage records to meet business needs 
Records are kept long enough to protect rights, assure accountability, and document the national experience
Records are destroyed when no longer needed and it is practical to do

**Federal agencies economically and effectively manage records to meet ****business needs**** **
**Records are kept long enough to ****protect rights, assure accountability, and document the national experience**
**Records are destroyed ****when no longer needed**** and it is practical to do**

***Records****** ******Management****** ******Initiatives***

**Notes:**
 As I’m sure you are all well aware that we are facing an electronic records challenge in the nation and specifically in the federal government.  With the rapid evolution of information, technology has produced large, ever-increasing volumes of diverse, and complex digital records.

Currently, there is no system to preserve all types of digital records over time.

And because there is no system the federal government is losing digital records on a daily basis.

The lose of these records inhibits the nation from preserving it’s rights, entitlements, and history in electronic form.  If you want to make it more personal I can rephrase the statement and say the lose of these records inhibit the nation from preserving your rights, entitlements, and history in electronic form.

Since NARA’s mission is to preserve the history of this Nation it is our responsibility to address the electronic records challenge.

For a moment lets focus on the elements of this challenge.  The 1st element that is clear and present is  the large volume of records agencies are creating and NARA is or will be ultimately responsible for.

The Clinton Administration transferred  40 million email messages that created in just one of its systems during the eight year administration.

The State Department has created 25 million electronic diplomatic messages.

On an annual basis the Dept. of Defense creates an estimated 54 million images from electronic official military personnel files.

And the Census Bureau has created 600 to 800 million image files from the 2000 Census.

Not only are these records large in volume they are all diverse and unique to their particular agency.  Individually that may not be such a big deal but there are approximately 400 agencies in the federal government and NARA is responsible for preserving the permanently valuable records for all of them, even without electronic records we a have big job so when you add electronic records to the mix the job is tremendous.  

So we have the volume, the diversity, and on top of all of that technology is forever changing.  From what I understand technology changes every 18 months and its unpredictable.  Sounds challenging?  Well it is.

## Records Management Initiatives 

**NARA’s RM program adds value**
**Records are managed effectively **
**Records of archival value are preserved and available for future generations**

**The Underlying Principle**

***Records****** ******Management****** ******Initiatives****** ***

**Notes:**
So after much evaluation the Archivist of the United States, John Carlin, decided since times were changing,  NARA had to change with the times.

In order to continue fulfilling our mission to preserving the Nation’s history we had no choice but to respond to this challenge.  That response was to create a program that would strategically manage the building of an electronic system that would enable NARA to preserve and provide access to any type of electronic record created anywhere in the federal government.

And so the ERA program was created.

## Records Management Initiatives 

***Records****** ******Management****** ******Initiatives****** ***

- Agencies
-  create
-  records

- Agencies create files with detailed file structures

- NARA helps agencies focus resources on their missions

**NARA support**
-     Free records center services

-  Records get destroyed according to schedules

- Records with archival value come to NARA

- NARA relieves agencies of reference burden

**NARA support**
-     Helps agencies contain costs

-  Records accumulate in agency offices

-  Records accumulate in agency offices

**NARA support**
-     Helps agencies contain costs

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Records Management Initiatives

**Strategic Directions **
**for Federal Records Management**
- Roadmap for Redesigning Federal RM
- Issued July 2003
- 25 Tactics to achieve goals
- Available at:
**http://www.archives.gov/records_management/**
**initiatives/rm_redesign_project.html**

## Areas of Interest: 

   Lifecycle BPR
   Flexible Scheduling and GRS
   Retention Standards
   Front-end Scheduling
   Records Center Program and ER Services
   Custody
   Expanded Formats for Transfers
   Pre-accessioning

**   ****Lifecycle BPR**
**   ****Flexible Scheduling and GRS**
**   ****Retention Standards**
**   ****Front-end Scheduling**
**   ****Records Center Program and ER Services**
**   ****Custody**
**   ****Expanded Formats for Transfers**
**   ****Pre-accessioning**

***Records****** ******Management****** ******Initiatives***

## Records Management Initiatives

**Flexible Scheduling**
**allow agencies to schedule temporary records at any level of aggregation.**
**includes “Big Buckets”-   the application of appraisal criteria to related groupings of information across one or multiple agencies to establish a uniform retention period. **
**Retention Standards**
**develop standards for retention that can be used to cover broad functional areas of the Government****  **

**work with agencies to schedule records as early as possible, including building scheduling into the design of new records systems**
**Records Center Program and ER Services**
**to the extent viable from a business perspective, the NARA Records Center Program will accept and service electronic records**

***Records****** ******Management****** ******Initiatives***

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

- -  established criteria for affiliated archives
- -  records will belong to NARA
**Expanded Transfer Formats**
- -   broader range of formats and data types for permanent ER
**Pre-accessioning**
- -   obtain ER before being legally accessioned

**Notes:**
 The vision for this electronic records archives is that it will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or software, enabling NARA to carry out it’s mission into the future.

## Slide 168

## Agenda

**BPR Mission and Scope**
**BPR Structure **
**Highlights of To-Be Model **
**Coordination with ERA**
**Questions**

**Notes:**
Thank you for coming to today’s meeting of the Records Lifecycle BPR BPR Guidance Team, or BGT.

The purpose of today’s meeting, besides giving you a project update, is to present to you the draft To Be model for the records lifecycle, and to discuss next steps.

Mention that Tom Mills is on the phone, so try to keep that in mind when discussing.

## BPR Mission	

**Support RMI**
**Support ERA**
**Promote compliance with the Government Paperwork Elimination Act (GPEA) requirements**
**Increase efficiency and effectiveness of all records lifecycle processes**

**Notes:**
These were the 4 main objectives of the BPR:
There were 3 initiatives at NARA that each had a BPR component: ERA and RMI, and GPEA.
Quite rightly, there was a need to synch up the ERA and RMI initiatives.

GPEA is a bit different since a) they are automating as is processes and b) they are at a much lower level.  Nonetheless, GPEA needed to be synched up with BPR as well.

Like other BPR, we were constrained by the laws and regulations that currently affect the way we do business and our organization’s mission. 
It is important to realize that unlike traditional BPRs, we started with two givens or constraints: ERA and RMI.  
For RMI, our mandate was to make changes to the To Be process to support RMI’s policy initiatives.  (We focused on process, not strategy).
For ERA, our mandate was to provide a rationalized workflow for electronic records, and to accommodate some of the ERA policies that have already been made (schemas, for example)

## Specific BPR Goals

**Wherever possible decrease time and effort needed by agencies and NARA to conduct business, specifically: decrease turnaround time on the development, submission and approval of records schedules, ensuring that records schedules are approved at the time they are submitted. **
**Enable NARA to provide access to records at the time they are accessioned.**

## BPR Scope

**Temporary records**
**Permanent records**
**All media types**
**Entire lifecycle**
**Federal, Presidential, Supreme Court, donated personal papers and artifacts**
**NARA, Regional Record Center and Presidential Library processes**

**Notes:**

Scope was big! 

## BPR Project

**Kickoff January 27**
**Subject matter expert teams**
**Project completed August 15**

**Notes:**
Process Redesign Team
BPR Guidance Team 
Benchmarking Team

## BPR  Activities/Deliverables

**As-Is IDEF 0 Model**
**including metrics**
**Benchmarking**
**To-Be IDEF 0 Model *****& *****supporting workflows**
**Recommendations for Follow On Activities**
**Review of ERA Requirements**

**Notes:**
Here is a bulleted version of the previous slide.  These are the major tasks:

As-Is model approved in mid-March.
Available metrics were collected
Benchmarking activities completed in June, final report is scheduled to be completed by the end of this month.
Draft recommendations and opportunities for follow-on projects and activities are being presented today.

ERA Requirements have been reviewed to identify implications of To-Be. 
ERA Requirements Team has been briefed on the draft model. 
Potential impacts have been identified. 
Once the model is approved, any necessary changes the requirements will be finalized. 

## Overarching Differences in To-Be

- More flexible organization--processes tailored to respond to specific situations
- Improved quantity and quality of information collected, collected earlier, and shared more effectively
- Formalizes/accentuates some existing processes
- Resulting in higher quality products produced more quickly and efficiently

**Notes:**
Start with high-level summary of differences that span boxes, then summarize each box. 

1st bullet: The model recognizes that different records have different needs, and processes need to be tailored to the needs of the records (and the needs of users). 
2nd: More and better information collected earlier and shared more effectively.

3rd bullet: There are many current processes that have been developed to increase efficiency of work processes, but many are not formalized. Either because they are “under the radar” in some way or because they weren’t considered part of the records lifecycle per se, they weren’t represented in the As-Is  model. The To-Be model includes some processes that are already taking place in NARA,. But by putting them in the model we can better integrate them with the rest of the lifecycle processes, formalize or standardize them, and give them greater prominence. 

## Effect of To-Be on Records

**Non-electronic Federal records **
**most changes in scheduling and processing**
**Electronic Federal records **
**most changes in system creation, templates, processes incorporated throughout, and processing**
**Non-electronic Presidential records and donated materials**
**no major changes**

**Notes:**
Another way of looking at differences is by types of records

As we walk though, we’re going to focus on the boxes that have the greatest concentration of changes. 

## Effect of To-Be on NARA

- Changes in how information is collected and shared
- Changes in how and when decisions are made
- Changes in how resource allocations are made
- More flexibility in processes

## Model Overview 

- 6 activities
- Manage Information Assets
- Ensure Good Records Management in the Federal Government
- Plan, Negotiate and Develop Strategies
- Determine Disposition
- Store Essential Evidence
- Provide Access to Essential Evidence

**Notes:**

There were also 6 major activities in the As-Is model, but there isn’t a one-to-one correlation between those boxes and these. 

We’re going to go through 6 boxes, focusing on ones with greatest concentration of changes. 

Format: 
- what’s happening in this box
- why were things changed
- What’s different
- Why is this better? 

This same information is in your packet, Summary Analysis document--different formatting. Some more detail. 

## 1: Manage Information AssetsWhat will change?

**Includes the creation and maintenance of IT systems as part of records lifecycle, with Records Management involvement**
**Shows electronic records being scheduled during creation of new IT systems**
**Shows incorporation of templates into IT systems, and outlines use of templates from the creator’s perspective**
**Shows records management information being incorporated into OMB business case**
**Emphasizes creator’s RM program having  intellectual control over records & records requirements**

##     2: Ensure Good Records Management in the Federal Government  What will change?

**These activities are being incorporated into the records lifecycle model. **
**Guidance will be more targeted to creator’s business needs. **

**Notes:**
Change is that it’s included--otherwise not much has changed except to incorporate RMI. Part of the value here may be symbolic--including these activities in the records lifecycle. 

## 3: Plan, Negotiate and Develop Strategies What will change?

**Prioritization of resource allocation will be done consistently as a formal step in the overall process, based on better and more consistent data. **
**Decision makers will have access to a management data repository containing appropriate metrics data, a matrix of NARA’s priorities and risk criteria. **
**NARA will have a formal process for collecting information about upcoming high-level records issues, analyzing them, and developing action plans to address them. **
**NARA will be negotiating with agencies to begin processing of records prior to the transfer of legal custody. **

## 4: Determine Disposition  What will change?

**NARA will be providing new tools to agencies to: **
**help them develop schedules, **
**identify if records are already covered under existing schedule, **
**show them examples of similar schedules, and **
**provide a suggested disposition for the records.**** **
**NARA will develop and use disposition standards.**
**NARA and the agencies will be able to easily search and access all approved dispositions using an automated tool.**

**Notes:**
Guidelines for what disposition, including minimum period of retention, is usually or acceptably applied to records within a defined functional category. These standards will be based on an analysis of the factors that contribute to permanent value; recordkeeping laws, regulations, and other formal requirements; and guidelines based on the impact of a function on the rights of citizens and the accountability of government.

## 4: Determine Disposition  What will change?

**There will be a flexible review process. The strategy for reviewing a proposed schedule will be determined based on established criteria. **
**Strategy for reviewing schedules for electronic records that have not yet been created may include a plan to re-visit the approved disposition after records have actually been created.**

## 5: Store Essential Evidence  What will change?

**NARA will develop and integrate into its processes a Lifecycle Data Repository. **
**NARA will develop and integrate into its processes a Template Repository. **

## 6: Provide Access to Essential Evidence  What will change?

**NARA will be developing Initial Preservation and Access Plans for records. **
**An assessment of the need for processing of the records will be developed, reviewed, and a strategy for processing implemented earlier in the records lifecycle. **
**NARA will develop criteria for amount/type of description/processing for different kinds of records to provide access that best meets the needs of users.**

**Notes:**
3rd bullet--mention providing access at transfer level. 

## 6: Provide Access to Essential Evidence  What will change?

**NARA will be able to process records prior to the transfer of legal custody based on negotiated agreements with agencies.**
**The process of requesting an internal disposal will be emphasized. **
**An Electronic Agency Referral System will be supporting access review.****  **

## Coordination with ERA

**Models are posted on ERA public website**
**Alignment of ERA RD and ConOps with To-Be model **
**Alignment of Enterprise Architecture Conceptual Data Model with To-Be Model and ERA documentation**
**Creation of unified glossary for Enterprise Architecture, ERA, and BPR**

**Notes:**
Send comments on To Be Model to Lori Lisowski by COB July 23.
If you want individual or more detailed presentation, let us know and we would be happy to arrange that for you.

We are asking for approval of To Be model, NOT of follow on recommendations.  By approving the model, you are NOT signing up for all of the follow on recommendations.

If model approved, there will need to be discussion and guidance on Road Map and follow on activity planning.  
However, if you have comments on those that relate to the To Be Model, they are welcome.

ERA appraisal requirements should be developed - (general requirements, also if expert system for appraisal is desired more specific requirements)

## Coordination with ERA 

- Coordinating in developing plans for next steps
- Additional drill-downs
- Creation of data flows
- Exploring implications of model
- Change management

**New versions of the model and more information will be posted on the ERA website.**
**Questions?**

## Slide 190

## Slide 191