NARA You Update on the ERPWG Mark Giguere

NARA & You Update on the ERPWG Mark Giguere, Lead IT (Policy & Planning) Office of Records Services – Washington D. C. National Archives & Records Administration August 31, 2004 RACO West Afternoon Panel Slide 1

EGov Act of 2002 • • EGovernment Act of 2002 (Public Law 107 -347, 44 U. S. C. Ch. 36) into law on December 17, 2002. Via budget guidance, OMB can further drive the utilization, interoperability and security of IT investments to: – advocates a more citizen-focused approach to current government-wide IT policies and programs; – establishes an Office of Electronic Government in the Office of Management and Budget (OMB) to improve Federal management of information resources; – formalizes the establishment of a Chief Information Officers (CIO) Council; – permanently reauthorizes and amends agency information security requirements through the Federal Information Security Management Act (FISMA); – protects the confidentiality of certain types of data through the Confidential Information Protection and Statistical Efficiency Act (CIPSEA); and – supports activities that OMB and the executive branch are already pursuing under the President’s Management Agenda’s Expanding Electronic Government initiative. August 31, 2004 RACO West Afternoon Panel Slide 2

ICGI • Section 207 of the Act requires the Director of the Office of Management and Budget (OMB) to establish the Interagency Committee on Government Information (ICGI). The ICGI was • Pursuant to section 207 of the Act, the ICGI will: – consult with interested communities; – conduct studies and submit recommendations to the Director of OMB and the Archivist of the National Archives and Records Administration (NARA); and share effective practices for access to, dissemination of, and retention of Federal information. August 31, 2004 RACO West Afternoon Panel Slide 3

ICGI • Executive Committee – Karen Hogan (co-chair) – Glenn Schlarman (co-chair) – Dan Costello/Kim Nelson (OMB) – Keith Thurston (GSA) – Lew Bellardo (NARA) – Bev Godwin (GSA) August 31, 2004 RACO West Afternoon Panel Slide 4

ICGI’s WG • Categorization of Information (Christian) • Web standards (Godwin) – Public Domain Directory – Web Content Standards • Electronic Records Policy (Kurtz) August 31, 2004 RACO West Afternoon Panel Slide 5

ERPWG • Goal: Develop recommendations and a timetable for implementation of those to the Archivist of the United States and the OMB Director for policies and procedures ensuring effective management of electronic records (Internet-based and otherwise). August 31, 2004 RACO West Afternoon Panel Slide 6

ERPWG Objectives • Identify barriers to effective management of “Government information on the Internet and other electronic records”. • Identify common characteristics of temporary and permanent records generated by lines of business [LOBs]/sub-functions of the FEA Business Reference Model [BRM] (v. 2). • Identify interim, realistic and useful tools for the creation and management of these records. • Identify longer term solutions compatible with the Electronic Records Archives. • Develop recommendations for ICGI to present to the Director of OMB and the Archivist August 31, 2004 RACO West Afternoon Panel Slide 7

Where we’re at? • BARRIERS REPORT – Gathered via substantial internal-to-Govt/external-to. Govt input – 4 major barriers identified • Records and information are not managed as agency business assets • Records management is not viewed as critical to agency mission • Marginal support for records management has led to a lack of training • Records management and information technology disciplines are poorly integrated within – Public comment on report ended 8/1/04 – Identified barriers will feed ERPWG’s ultimate recommendations to OMB Director/Archivist August 31, 2004 RACO West Afternoon Panel Slide 8

Where we’re at (cont. ) • COMMON CHARACTERISTICS • Identification of basal set of RM metadata for GII and OER • 8 characteristics identified – Association to series, creator, date type, identifier, LOB code, restrictions/rights, title, vital records indicator • Metadata being coordinated with CGI and Web standards WGs – Being made ISO 11179 (data dictionary standard)- compliant August 31, 2004 RACO West Afternoon Panel Slide 9

Where we’re at? (cont. ) • ERM Toolkit – Internet portal managed by NARA with ERPWG involvement – Initially, ERM guidance tools that are proven as useful in agencies or are planned or under development to meet an identified ERM need • Best practices, guidance, process models, lessons learned, tips and techniques, policies, etc. – Metadata about tools collected, used to organize tools, share knowledge, provide user-friendly “views” – Process to allow future focus on identifying/adding tools • Identify and evaluate tools, manage toolkit data, facilitate expansion – Project team approach multi-agency team to develop, establish and manage ERM toolkit in FY ‘ 05 August 31, 2004 RACO West Afternoon Panel Slide 10

Where we’re at? (cont. ) • ERM Toolkit – Adopted from the proposed directions articulated in the ERPWG Barriers Report • Toolkit will share tools proven to help agencies: – Manage records as business assets – Incorporate records management requirements in planning/re(design) of systems – Overcome marginal support for records management in agencies – Promote integration of RM and IT August 31, 2004 RACO West Afternoon Panel Slide 11

Where we’re at? (cont. ) • ERM Toolkit – ERM tools • Documents, interactive guidance products, web sites, etc. – Best practices, guidance, process models, policies and directives, tips and techniques, training programs, lessons learned, speeches, presentations, etc. – Agency users • General population, records officers/records management staff, CIOs, IT, business process owners/data owners, web content managers/web masters, legal staff – ERM activities • Traditional records management activities • Other agency activities - integrating records management – Enterprise architecture planning, security certification and accreditation, capital planning and investment control, systems development lifecycle August 31, 2004 RACO West Afternoon Panel Slide 12

Where we’re at? (cont. ) • ERM Toolkit – Internet portal managed and hosted by NARA with assistance of interagency group (e. g. , ERPWG) – – – – August 31, 2004 User-friendly, flexible, expandable, self-validating Static versions to be created for promotion purposes Linked from key “customer” web sites Database populated with information about tools (i. e. , metadata) used to organize and display tools Tools summarized for ease of selection » Fixed views by User group, ERM activity » Search capability (metadata, full-text, combination) » Sort by metadata fields Tools maintained in agencies - linked to toolkit, or contact information provided Ongoing evaluation process for adding/removing tools E-mail feedback mechanisms RACO West Afternoon Panel Slide 13

Where we’re at? (cont. ) • ERM Toolkit – Developed as a project during FY-05 • Establish project team, tasks, milestones, project schedule • Establish back-end processes and procedures that support future focus on identifying and adding tools. – – – Identifying tools Evaluating and accepting tools Describing and organizing tools Maintaining tools Managing user feedback, continuous improvement Managing toolkit records • Establish initial version of toolkit portal with a limited set of tools – Used to promote the toolkit and as an incentive for agencies to contribute tools August 31, 2004 RACO West Afternoon Panel Slide 14

Where we’re at? (cont. ) • ERM Toolkit – ICGI review – Agency review and comment – ICGI approval – Initiate ERM toolkit project August 31, 2004 RACO West Afternoon Panel Slide 15

Where we’re at (cont. ) • RECOMMENDATIONS TO OMB DIRECTOR/ARCHIVIST – Draft recommendations due to ICGI Sept 30 – Process begun on August 25 th – Will address a limited number of high impact recommendations to address identified barriers • Including recommended timetable for adoption August 31, 2004 RACO West Afternoon Panel Slide 16

After that? • Toolkit population • Implementing ICGI recommendations August 31, 2004 RACO West Afternoon Panel Slide 17