# Presentation: 797567

## Challenges and Changes:Electronic Records Management

- Dr. Michael J. Kurtz
- Assistant Archivist, Office of Records Services –
- Washington, DC

**Notes:**
Sources - ERPWG
ERM Toolkit (Sullivan)
RM Profile (Brewer)
FRC (Mason)
ERM eGov
Combo slide (Giguere)
RMSC (Giguere)
RMI
E-systems Initiative (Elter)
Business Process Analysis Benchmarking (Phillips)
FRC
ERST (Shaw)
Other
PDF/A (Sullivan)
Web Harvest (Kane)
Transactional PKI Guidance (Giguere)

## ERPWG

- ERM Toolkit
- RM Profile
- Federal Records Council

**Notes:**
Electronic Records Policy Working Group

Electronic Records Management Toolkit

Records Management Profile

Federal Records Council

[Will discuss each in the following slides.]

## ERPWG – ERM Toolkit

- NARA hosted/managed Internet portal
- Share ERM guidance tools Government-wide
- Identify and organize tools by:
- Audience
- Task/activity
- Issue addressed
- Proof-of-concept in December 2005
- Obtain agency feedback
- Incentive for agencies to contribute tools

**Notes:**
Internet portal managed by NARA with working group input.
Part of ERPWG recommendation #1 - clear guidance
Share NARA and other ERM guidance tools Government-wide
Best practices, guidance, process models, lessons learned, tips and techniques, policies, etc.
Concept - to identify and organize tools in ways that:
allow a diverse audience to easily and quickly....
locate guidance tools, and 
determine if a particular tool meets their needs  
Addresses different audience’s perspectives
Connects the tools to agency tasks or activities 
Identifies the issue addressed such as...How do I?...
Proof-of-concept planned for December
Limited number of tools - NARA and a few external tools
Purpose to obtain feedback on the concept, does it work? How can we do this better?
Sets the stage for agencies to contribute tools in the future.

## ERPWG – RM Profile

- ERPWG Recommendation #3: Create a Records Management Profile in the Federal Enterprise Architecture
- Envisioned as a ‘framework’ integrating records management into agency work processes, enterprise architectures, and information systems
- A best practice that will continue to evolve
- Stay tuned!

**Notes:**
Bullet #1
The ERPWG identified the need for a Records Management Profile in the FEA in the final Recommendations report released in December 2004. 
Project was begun in January with the initial draft due to be released in August following extensive review by agency partners, OMB, and industry.

Bullet #2

The RM Profile is based on the idea that records management cross-cuts each of the five FEA reference models (i.e., BRM (business), SRM (service components), TRM (technologies), DRM (data), PRM (performance)) and all Lines of Business.
When completed, the RM Profile will represent a first cut at a framework that links records management resources to agency business in a way that integrates these resources early in the development of agency processes or systems acquisitions.

Bullet #3
NARA expects the RM Profile to evolve as more RM resources and best practices are identified, and as new technologies and standards are developed to support the application of the Profile

## ERPWG – FRC

- The Federal Records Council is a 27-member interagency committee created by NARA to advise the Archivist and Federal agencies on all aspects of records management, with special emphasis on the management of electronic records
- Members represent stakeholder communities: Federal records management officials, legal staff, information technology officials, information security and privacy experts, and web content managers
- The Council will provide a formal mechanism for an ongoing support system in which agencies can share experiences and work together and, with NARA, identify strategies, best practices, and solutions to electronic information and records issues

**Notes:**
Electronic Records Policy Working Group – Federal Records Council

## ERM eGov Overview

- ‘Graduates’ this year
- Further IA2 products planned
- 5015.2 (v. 3) out for public comment
- Further enhancements to the NARA training program
- NARA/SMART MOU

**Notes:**
ERM eGov, as all other initiatives of the first cohort of e-initiatives, will graduate at the end of FY ’05.
Issue Area 2 (Lead:  EPA) – Enterprise-wide deployment of RMAs is currently working on COTS evaluation guidance and will complete pilot planning & governance guidances before the end of the year.
Version 3 of the DoD design standard will be released for FR comment by the end of the year:  specific A/RM areas of enhancement – expansion of the minimum metadata profile for application-class specific metadata and enhancement of the transfer functionality (for both perm and temp records).
The NARA training program will establish an integrated registration & tracking system, as well as tie to OPM’s GoLearn to monitor usage statistics.  It’s also working to expand email course offerings as well as those for IT professionals.
NARA has established an MOU with the Dept of State to accept pilot xfers into the ERA Virtual Lab from its State Messaging Archival & Retrieval toolset.

## ERM eGov - RMSC

- Requirements definition for records management service ‘components’
- “Component” is a re-usable piece of software described by a specification and possessing an implementation
- Use cases are on-going to determine an acquisition strategy.

**Notes:**
The requirements definition phase, which spanned from Jan – Mar ’05, involved 18 agencies, NARA SMEs, industry & academia.
RM Service Components are platform/application-specific pieces of software that provides services supporting the creation, management, transfer and destruction of electronic records.   Components, once developed and acquired, would be available for re-use via the FEA PMO’s CORE [Component Organization and Registration Environment] registry.
ANALOGY IF YOU CHOSE TO USE IT - In simple conceptual terms, the Records Management Service Components will have a function like a computer’s system clock – but instead of providing the date and time functionality across applications on a system – the records management service components will provide records management functionality across applications on a system.  
NARA is currently reviewing the requirements resulting from the initial activity and determining an appropriate acquisition strategy (e.g., industry builds them, NARA or concert of agencies pay to have them developed).  In the meantime, the requirements are available at the NARA website and will be registered in CORE for review by relevant IT efforts.

## RMI

- E-systems Initiative
- Business process analysis benchmarking

**Notes:**
Electronic Systems Initiatives
Scheduling
Acquisition and Accessioning

Business Process Analysis work and benchmarking

[Will discuss each in the following slides.]

## RMI - Electronic Systems Initiative

- Selected high priority agencies identified
- More than 250 systems to be scheduled
- 31 systems appraised
- Advocacy to assist agencies

**Notes:**
Bullets 1 and 2 and 3 – The selected high priority agencies are based on our resource allocation analysis looking at (1) risk to records; (2) citizen rights and government accountability issues documented in records; and (3) and the potential archival value in records as well as our professional staff’s knowledge of their assigned agencies.

Bullet 4 – [Discuss your personal commitment to increasing the electronic records holdings at NARA as well as the availability of NARA’s senior leaders and your senior managers – like Lowell and Giguere (NWM), Carlson (NWME), Wester (NWML) – to meet with agencies, as well as the availability of line staff in NR and NW to get the work done.]

Larger Goals of the Initiative:
Our goal is to have a better picture of the electronic records universe in the Federal government [use the mosaic analogy]
Prioritize and focus our efforts in the highest priority areas related to scheduling electronic records and accessioning electronic records, especially where there are gaps in our existing holdings
“Prime the pump” for and have an increasingly better sense of the incoming volumes and types of records for the Electronic Records Archives.

## RMI - Benchmarking

- Goal: Identify exemplary practices for identifying recordkeeping requirements and ensuring the requirements are met in new IT systems design
- Exemplary practices will inform BPA training for NARA staff

**Notes:**
The Business Process Analysis Benchmarking project began in December 2004

The team conducted benchmarking interviews in March and April 2005 with a small number of Federal, State, and private organizations which have formal methodologies for ensuring that recordkeeping requirements are built into new IT systems design.  (Some methodologies emphasize procedures for identifying recordkeeping requirements as part of business process analysis, others emphasize ensuring that a standard set of recordkeeping requirements are met for any IT system that contains records.)

After conducting the interviews, the team will analyze the results in a final benchmarking report in the summer of 2005.

We hope that organizations we identify as having best practices will consent to let us publicize their methodologies for the use of the Federal RM community.

Identified best practices will influence the content of training developed by our Business Process Analysis training project.

## FRCP – E-rec Services Team

- NARA Team of experts planning and implementing e-records services
- Current ERS Pilots
- electronic media storage
- document scanning/conversion
- e-Vital Records and COOP site
- Federal Record Center Program is updating their business systems to provide Agencies with additional capabilities and services.

**Notes:**
This year we are implementing three separate, but related pilots. 

E-media storage; Shelve and Store; Service and Rotation.  We have implemented one of the two e-media storage areas in our Kansas City underground record center location.  It offers basic storage services for your non-permanent electronic records on physical media such as CDs, DVD, Magnetic Tapes, etc., in an environmentally controlled area.  The second site located here in the Washington DC area (Suitland) is scheduled to become available in early FY06.
Document Conversion/Imaging.  The FRCP is piloting two document conversion services for our regional customers: Production Scan and SmartScan.  Both services will provide digital output in formats that are acceptable to NARA’s emerging ERA system. 
(1) Production Scan Document Conversion.  FRCP staff will convert large quantities of your paper records into high-quality digital images. Services under the Production Scan pilot include document preparation, scanning on high-speed equipment, document indexing and metadata development, and output to multiple formats. 
(2) SmartScan - Electronic Document Delivery Get same day electronic delivery of your records with FRCP's SmartScan service. Your reference request is researched, scanned by records center staff and emailed that same business day directly to your computer in Adobe Portable Document Format (PDF). SmartScan eliminates outbound and return shipping costs, and is therefore ideal for both small jobs and urgent requests. 
E-Vital Records and COOP Sites (Hot/Warm/Cold)
Vital records protection plans are a necessary component of any Continuity of Operations Plan (COOP) and are required of all Federal agencies (36 CFR 1236). An increasing number of Federal agencies are keeping their vital records in electronic formats, because these e-records are easier to protect and update than paper records. Agencies can also easily store e-vital records in a location that is away from their primary site and even out of their region. 

## Other -  Draft ISO Standard - PDF/A

- PDF - Archive (PDF/A)
- File format that should allow records in PDF to be maintained longer as PDF
- ISO Standard will be used by software developers to develop applications that write, read and process PDF/A files
- Agencies would need to implement PDF/A applications in conjunction with records management policies and procedures
- Could be published as early as this Summer.

**Notes:**
PDF/A stands for PDF Archive
Defines a file format based on PDF that  eliminates PDF features that  can complicate archival preservation 
That should allow records in PDF to be maintain longer as PDF
Vendors will use the PDF/A Standard to develop applications that create, read and process PDF/A files
PDF/A alone does nothing to meet recordkeeping requirements.  
Example: The standard allows lossy compression, and does not address the quality of converted data. 
Example:  Files created with PDF/A software may not meet NARA’s transfer requirements for permanent records in PDF 
Therefore, Agencies must implement PDF/A applications in conjunction with records management policies and procedures
The standard could be published as early as this Summer

## Other -  Web Harvest

- Harvest conducted by Internet Archives for NARA between 10/14/04 and 11/19/04 from a list of **982** “.**gov**” and “.**mil**” active, unrestricted federal web sites provided by GSA and DISA.
- Approximately **6.5 terabytes** of information, roughly **75 million web pages** representing about **50,000 federal web sites**.
- Active on 1/21/05:  http://www.webharvest.gov

**Notes:**
Harvest conducted by Internet Archives (IA) ...nonprofit based in San Francisco... and hosted by them for first year plus 3 successive optional years.
Contract specified (1) IA harvest and host (on their web site) content and (2) create and send preservation copies to NARA on DLT Type IV tape in both open ARC standard format and as native web (HTML etc.) formats
Tapes created by the contract manager, Information Systems Support (ISS...of Gaithersburg, Md.)  from content provided by IA on hard drives.
Content harvested was limited to:
A list of 982 “.gov” and “.mil” active, unrestricted, second level URLs and sites linked to them down to the fourth domain level.
Lists provided by U.S. General Services Administration's (GSA) ".GOV" Internet Domain Registry and the Defense Information Systems Agency (DOD/DISA) 
A specific time period defined by the contract (10/14/04 to 11/19/04)  
Abilities of the harvest engine (Heritrix: only harvester reviewed by Library of Congress to be suitable for harvesting at this scale) and the server environments being crawled:
Static content only, 
No database driven or dynamic content (no content accessible through an interactive format like “forms”)
No password protect or otherwise secure content.
No streaming (audio/video) content
To get what was harvested (6.5 terabytes, 75 million pages and 50,000 web sites) in a little over a month the harvest throughput was substantial... requiring 10 machines, each running 100 threads for a rate of 300MB/sec.

## Other -  Addtn’l PKI Guidance

- 2nd ‘Drill-down’ PKI guidance - for transactional records
- Based on needs established at focus group inputs in May of 2004
- Primary recommendation
- Establishment of a ‘trust documentation set’
- Maintenance of trust documentation set as long as transaction

**Notes:**
Builds on both NARA’s original GPEA guidance and PKI guidance for administrative records.  Developed jointly with Federal Public Key Infrastructure Steering Committee’s Legal/Policy WG.
Per DoJ recommendation (focus: preserving, for as long as needed, ability to prosecute fraud), trust documentation set is a mixture of PKI administrative and PKI transactional records which ‘describe’ an digitally-signed transaction.  Recordkeeping copy of trust documentation set is to be captured/set aside at or near the time of transaction and maintained as long as the transaction.

## Challenges and Changes:Electronic Records Management

- Dr. Michael J. Kurtz
- Assistant Archivist, Office of Records Services –
- Washington, DC

**Notes:**
Thank You