#1NATIONAL ARCHIVES Office of the Chief Records Officer NATIONAL ARCHIVES AND RECORDS ADMINISTRATION NARA and Records Management in the New Year December 10, 2020 Digital Government Institute DGI Webinar OFFICE of the CHIEF RECORDS OFFICER 1#2NATIONAL ARCHIVES Office of the Chief Records Officer NATIONAL ARCHIVES AND RECORDS ADMINISTRATION NARA Bulletin 2020-01, Guidance on OM B/NARA Memorandum Transition to Electronic Records (M-19-21) Laurence Brewer, Chief Records Officer for the U.S. Government OFFICE of the CHIEF RECORDS OFFICER#3NATIONAL ARCHIVES Office of the Chief Records Officer M-19-21: Transformational Targets. On June 28, 2019, the Office of Management and Budget (OMB) and NARA jointly issued a memorandum with guidance on transitioning to electronic records (OMB/NARA M-19-21) 2022 2022 2022 2022 Federal agencies will manage all temporary records in an electronic format or store them in commercial records storage facilities. (1.3) All agencies must close agency-operated records storage facilities and transfer inactive, temporary records to Federal Records Centers or commercial records storage facilities. (1.3) NARA will no longer accept transfer of permanent or temporary records in analog format and will accept records only in electronic format and with appropriate metadata. (2.4) Federal agencies will manage all permanent records in an electronic format with appropriate metadata. (1.2) NATIONAL ARCHIVES AND RECORDS ADMINISTRATION#4NATIONAL ARCHIVES Office of the Chief Records Officer M-19-21: Continuing Focus After M-19-21's release, we met with agencies, gathered data through annual reporting, learned from agency practices during inspections and assessments We received many questions from agencies, including general questions, exception process questions, records storage facility questions, and scheduling and transfer questions since M- 19-21 was issued In September 2020, we issued NARA Bulletin 2020:01 Guidance on OMB/NARA Memorandum Transition to Electronic Records (M-19-21) to respond to many of those common questions and provide further guidance related to specific requirements in the memorandum · NATIONAL ARCHIVES AND RECORDS ADMINISTRATION#5Office of the Chief Records NATIONAL ARCHIVES Officer What's in the Bulletin? The Bulletin provides more detailed information on exceptions as required by the Memorandum, including: • • General questions Exception process questions Records storage facility questions Scheduling and transfer questions NATIONAL ARCHIVES AND RECORDS ADMINISTRATION LO 5#6NATIONAL ARCHIVES Office of the Chief Records Officer General Exception Categories These categories include cases where replacing analog records. with electronic records or systems would be: . · Burdensome to the public. Cost would exceed the benefit Prohibited by statute or regulation NATIONAL ARCHIVES AND RECORDS ADMINISTRATION CO#7NATIONAL ARCHIVES Office of the Chief Records Officer Other Considerations The Bulletin includes guidance for certain types of analog records that may require an exception: • . Records with potential intrinsic value Classified records Fragile records where digitization is cost-prohibitive NATIONAL ARCHIVES AND RECORDS ADMINISTRATION#8NATIONAL ARCHIVES Office of the Chief Records Officer Single Comprehensive Request Exception requests will be considered in the context of an agency's strategic plan for managing their records Agencies should submit one request to cover all the records series they believe need exceptions Requests should explain reasons for requesting an exception, identify the duration of exception, and include a business case and plan for the transition to full compliance Requests must be signed and submitted by the agency's SAORM Submit requests to rm [email protected] NATIONAL ARCHIVES AND RECORDS ADMINISTRATION α#9NATIONAL ARCHIVES Office of the Chief Records Officer NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Highlights of the 2019 Federal Agency Records Management Annual Report and 2020 Plans Don Rosen, Director of Records Management Oversight and Reporting OFFICE of the CHIEF RECORDS OFFICER#10NATIONAL ARCHIVES Office of the Chief Records Officer Annual Records Management Report SAORM ERM and EMAIL Maturity Model RMSA NEW 1 Focused on M-19-21- Did your agency meet the managing permanent e- records in electronic format target date of 12-31-2019? How does your agency plan on meeting the targets for 12-31-2022? Agency records officers assess their individual agency's electronic records and email management using a risk based maturity model template based on Universal ERM Requirements and NARA's published success criteria. Agency records officers provide an evaluation of their individual agency's compliance with Federal records management statutes, regulations and program functions. NATIONAL ARCHIVES AND RECORDS ADMINISTRATION#11NATIONAL ARCHIVES Office of the Chief Records Officer What is the Report Used For? NARA • Gather information in a consistent and uniform manner Identify emerging trends • Provide some level of feed back to agencies with a score Agencies Determine weaknesses • Apply limited resources. more appropriately • Use scores to measure effectiveness of their RM programs • Use to leverage support for RM program NATIONAL ARCHIVES AND RECORDS ADMINISTRATION#12NATIONAL ARCHIVES Office of the Chief Records Officer Key Points in 2019 Report · ● • • Approximately 70% of agencies met the goal to manage permanent electronic records in electronic format by December 31, 2019 Agencies (97%) believe they will meet the December 31, 2022, deadline to manage permanent records in electronic format with appropriate metadata Agencies (93%) indicated that they will be able to manage temporary records in electronic format Records are already created and maintained electronically Email management is more mature than electronic records management overall NATIONAL ARCHIVES AND RECORDS ADMINISTRATION#13NATIONAL ARCHIVES Office of the Chief Records Officer Key Points in 2019 Report Progress is being made Policies, procedures, guidance are being created All records maintained in electronic format NATIONAL ARCHIVES OFFICE of the CHIEF RECORDS OFFICER Digitization/Scanning in use or planned Federal Agency Records Management 2019 Annual Report Senior Agency Official for Records Management Annual Report Federal Electronic Records and Email Management Maturity Model Report Records Management Self-Assessment National Archives and Records Administration September 2020 Metadata is or will be associated ERMS/ERKS/ EDM S/ECM/RM A in use or planned Records maintained in Electronic Information System (s) NATIONAL ARCHIVES AND RECORDS ADMINISTRATION#14NATIONAL ARCHIVES Office of the Chief Records Officer Yes, 73% Yes Progress on M-19-21 Strategies for Meeting M-19-21 Yes, 39% Developing or limited, 32% Developing or limited, 23% Developing or limited No, 4% No No, 29% ■Managing permanent electronic records and related metadata ■Digization to reformat permanent records created in hard copy or analog format RM SA-20 19 NATIONAL ARCHIVES AND RECORDS ADMINISTRATION#15NATIONAL ARCHIVES Office of the Chief Records Officer What's Next . Federal Records Management Annual Reporting for 2020 О 。 SAO Report, RM SA, and Maturity Models 。 https://www.archives.gov/records- mgmt/resources/self-assessment.html Semi-Annual Report on Records Management Oversight Activities • Records Management Inspections and Assessments ○ https://www.archives.gov/records- О mgmt/resources/rm - inspections NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 15#16NATIONAL ARCHIVES Office of the Chief Records Officer NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Overview of Recent NARA Products Lisa Haralampus, Director, Records Management Policy and Outreach OFFICE of the CHIEF RECORDS OFFICER#17NATIONAL ARCHIVES Office of the Chief Records Officer The List • December 2, 2020 proposed regulation on digitization standards for permanent records (36 CFR 1236) • December 2, 2020 proposed regulation on reviewing schedules that are 10 years old (36 CFR 1224/1225) • November 25, 2020 Archivist memo to agency heads on records management during presidential transition • October 20, 2020 updated COVID FAQ • October 19, 2020 NARA white paper on Cognitive Technologies • October 1, 2020 NARA Bulletin 2020- 02 Guidance on Scheduling the Early and Late Transfer of Permanent Records October 1, 2020 NARA Bulletin 2020-01 Guidance on OM B/NARA Memorandum, Transition to Electronic Records (M-19-21) • September 29, 2020 AC Memo 27.2020 for review of agency-specific schedules approved prior to January 1, 1990 • September 28, 2020 Federal Agency Records Management Annual Report, 2019 • September 23, 2020 FAQ on Records Scheduling and Appraisal • September 23, 2020 FAQ on the Agency Records Officer Credential (AROC) ⚫ August 5, 2020 Navigational Chart Formats ⚫ June 25, 2020 AC Memo 20.2020 about sending Federal records to NARA during the pandemic ⚫ April 30, 2020 draft universal use cases (FERMI activity) ⚫ April 6, 2020 Universal Electronic Records Management (ERM) Requirements, Version 2 • March 27, 2020 Records Express blog about our office's current operating status related to the pandemic • February 10, 2020 files containing machine readable GRS Schedules NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 17#18NATIONAL ARCHIVES Office of the Chief Records Officer Digitizing Permanent Records Draft standards for the digitization of permanent records have been posted for comment and are available for review until February 1, 2021 at: https://www.federal register.gov/documents/2020/12/01/2020-26239/federal-records- management- digitizing-permanent-records-and-reviewing-records- schedules The standards are: Required by the 2014 amendments to the Federal Records Act and will be codified in 36 CFR 1236, where standards for digitizing temporary records are located. Consistent with other technical standards, including ISO and FADGI Applicable retroactively to digitized records not yet transferred. If previously digitized records are not compliant with the final standards, agencies may: 1. Re- digitize the source records 2. Submit an agency-specific schedule 3. Transfer source paper records to NARA prior to December 2022 4. Request an M- 19-21 exception NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 18#19Office of the Chief Records NATIONAL Officer ARCHIVES Records Scheduling Proposed Regulation 36 CFR 1224.10 & 1225.22 Review, every five years, all records schedules that are ten years old and older, based on date NARA approved the schedule. Same rule- making package as digitization regulation FAQ on Records Scheduling and Appraisal Answers to common questions asked by people unfamiliar with federal records. scheduling process • Why are records destroyed? • Why does NARA appraise records? NARA Bulletin 2020-02, Scheduling the Early and Late Transfer of Permanent Records • Superseded NARA Bulletin 2015-01 • Same guidance for scheduling permanent records with retention periods less than 15 years New guidance for scheduling permanent records with retention periods more than 30 years Machine Readable GRS Schedules on Data. Gov • Searchable and manipulable versions in comma-separated value (.csv) Contain raw data (minus PII) exported from Electronic Records Archives (ERA) data files along with a data dictionary are available for download as a .zip file NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 19#20Office of the Chief Records NATIONAL ARCHIVES Officer Presidential Transition To quote the Archivist ... In times of transition, it is crucial that agency heads work with their Senior Agency Official for Records Management and Agency Records Officers to ensure that the importance of records management during transition is communicated within the agency and that all agency officials and employees are properly briefed on their records management responsibilities. NARA has resources to help you meet your agency's legal obligations, promote effective business operations during the transition, and preserve your agency's enduring historical record Records Express blog posts: Managing Official Email and Social Media Accounts Entrance and Exit Checklists for Senior Officials General Resources from NARA and GSA NARA webpage: Documenting Your Public Service NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 20#21NATIONAL ARCHIVES Office of the Chief Records Officer Other Products COVID FAQ • Discusses records management when teleworking • Discusses records scheduling and retention Existing GRS items will be updated for records related to federal employees return to facilities Cognitive Technologies: Records Management Implications for the Internet of Things, Robotic Process Automation, Machine Learning, and Artificial Intelligence Provides a basic description of each of these technologies, examples of their various applications, and enabling factors supporting the technologies Considers the records management implications of cognitive technologies Draft Universal Use Cases Written from a high-level perspective to cover all types of electronic records Developed as part of NARA'S FERMI initiative Universal Electronic Records Management (ERM) Requirements, Version 2 Version 1 was issued in August 2017 Revisions to the abstract, lifecycle requirements, transfer format requirements, and glossary NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 21#22Office of the Chief Records Contents for More Information NATIONAL ARCHIVES Officer Records Express - Official Blog http://blogs.archives.gov/records- express/ NARA Records Management Webpage http://www.archives.gov/records-mgmt/ Switchboard, ca. 1948- 2967. National Archives Identifier: 19996695. NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 22 22