# Presentation: 779486

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

**e-Records Management **

- RACO West Keynote

## ERM Initiative - Background

- E-Gov Initiatives
- what they are
- how they work
- E-Records Management (ERM) Initiative
**Managing Partner** - National Archives & Records Administration

- RACO West Keynote

## Vision

- To effectively manage and facilitate access to agency information in order to support and accelerate decision making and ensure accountability.

- RACO West Keynote

## Goals

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

- RACO West Keynote

## Challenges

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

- RACO West Keynote

## Organization of Initiative

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

- RACO West Keynote

## Issue Area 1 - Correspondence Tracking		

**Background****	**
- Tracking and coordination of high-level Congressional correspondence was identified during Quicksilver interviews as a major issue for Cabinet-level agencies.
- OMB determined the issue should be addressed as part of the E-Records Management Initiative led by NARA.

- RACO West Keynote

**Notes:**
Due to the scope if this activity.  Four sub areas were identified with OMC partner agencies volunteering to take lead for individual issue areas.

## Issue Area 1:Correspondence Tracking

**FY 2003 accomplishments:**
- Limited survey of Cabinet-level agencies to establish agency capabilities and system requirements
- Offering of limited pilot use of DOE correspondence portal
- Evaluation of need for further activity
- FY 2004 – closed by Karen Evans

- RACO West Keynote

## Issue Area 2:Enterprise-wide ERM

**Lead Partner - EPA**
**	**Contact: Chris O’Donnell
- 	odonnell.chris@epa.gov
**Objective:**
- Provide tools for agencies to use as they plan and implement ERM systems

- RACO West Keynote

## Issue Area 2:Enterprise-wide ERM

**FY 2003 Accomplishments**
*Guidance for Coordinating the Evaluation of Capital Planning and Investment Control (CPIC) Proposals for ERM Applications*
**FY 2004 Accomplishments**
*Methodology for Determining Agency - unique Requirements Beyond DoD 5015.2 (v. 2) (forthcoming)*

- RACO West Keynote

## Issue Area 3:Electronic Info Mgmt Stds

**Lead Partner - **DoD
- 	Contact: Harriet Riofrio
- 	Harriet.Riofrio@osd.mil
**Objective:**
- 	To promote the Federal-wide adoption of the DoD Electronic Records Management Software Application Design Criteria Standard - DoD 5015.2-STD, version 2

- RACO West Keynote

## Issue Area 3:Electronic Info Mgmt Stds cont.

-  DoD release of DoD 5015.2 STD version 2.0 for DoD mandatory use - FY 2002
- Adoption of DOD 5015.2 STD version 2.0 for civilian agency use
- NARA Bulletin issued 1/15/03

- RACO West Keynote

## Issue Area 3:Electronic Info Mgmt Stds cont

**NARA Bulletin 2003-03**
- Endorses DoD 5015.2-STD, version 2 for all agencies
- Recommends using the DoD standard and the DoD-certified products as a baseline when selecting an RMA to manage the agency's electronic records.

- RACO West Keynote

## Issue Area 3:Electronic Info Mgmt Stds

**Resources:**
**NARA Bulletin -** http://www.archives.gov/records_management/policy_and_guidance/bulletin_2003_03.html
**Information about DoD 5015.2-STD -**
- 	http://jitc.fhu.disa.mil/recmgt/standards.htm

- RACO West Keynote

## Issue Area 3:Electronic Info Mgmt Stds

**Certified product register -**
- 	http://jitc.fhu.disa.mil/recmgt/register.htm
**JITC testing and certification**
- matsuurs@fhu.disa.mil
- http://jitc.fhu.disa.mil/recmgt/

- RACO West Keynote

## Issue Area 4: Transfer Permanent E-Records to NARA

**Lead partner** - NARA
**Objectives:**
- To expand transfer options for permanent electronic records:
- formats NARA can accept
- the media and techniques for transferring permanent electronic records to the National Archives of the United States
- To ensure permanent e-records are preserved

- RACO West Keynote

## Issue Area 4: Transfer Permanent E-Records to NARA cont.

**Issue Area 4 FY ’03 Products:**
- Rule authorizing FTP/DLT transfer mechanisms
- 3 new formats accepted (e-mail, scanned images of text, PDF)
- XML schemata for transfer

- RACO West Keynote

## Issue Area 4: Transfer Permanent E-Records to NARA cont.

**Issue Area 4 FY ’04 Products:**
**1 new format issued (digital photography)**
**1 new format about to be issued (GIS records) – issued 04/15/04**
**1 new format pending (web site content records) – mid-Sept ‘04**

- RACO West Keynote

## Issue Area 4: Transfer Permanent E-Records to NARA cont.

- Further information
- Mark.Giguere@nara.gov or 301-837-1744
- Copies of transfer guidance on NARA web site
- _http://www.archives.gov/records_management/initiatives/email_attachments.html_
- _http://www.archives.gov/records_management/initiatives/scanned_textual.html_
- _http://www.archives.gov/records_management/initiatives/pdf_records.html_
- _[http://www.archives.gov/records_management/initiatives/digital_photo_records.html](http://www.archives.gov/records_management/initiatives/digital_photo_records.html)_
- _http://www.archives.gov/records_management/initiatives/digital_geospatial_data_records.html_
- Check the web site for future products at
- http://www.archives.gov/records_management/initiatives/erm_products.html

- RACO West Keynote

## Approved FY ’05 Activities

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

- RACO West Keynote

## Approved FY ’05 Activities

- Issue Area 4
- NARA/State MOU re. SMART system
- Pilot transfers
- Knowledge management
- Archival access
- Implementation of significant revision to national training program
- Define requirements for potential RM service components for Federal Enterprise Architecture Framework

- RACO West Keynote

## Feedback/Questions?

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

- RACO West Keynote