[english]

U.S. National Archives and Records Administration’s

Strategic Directions for Federal Records Management

Paul M. Wester, Jr.Director

Modern Records ProgramsNARA

Outline

Background to NARA’s RM Challenge Other Major Developments in RM What Did NARA Decide to Do? NARA’s Strategic Plan / Strategic Directions

for Federal Records Management 3 AND 9 AND 26 AND 6 National Records Management Program Records Management Training Program

Background to Challenge

NARA’s current records management program was designed for paper records.

While Federal agencies still have paper records, most Federal records are created electronically and remain electronic for a portion of their lives.

Other Major Developments

Innovative software products support the creation and modification of electronic documents – but records management tools lag behind.

Email creates more records – less meetings and telephone calls.

Email replaces traditional forms of written communications.


Technology creates more copies – printers, copiers, fax machines.

Technology allows for more knowledge management activities – but less control of records to document business needs.

Changing technology and fewer RM staff resources places more responsibility on program management staff.


With the increased prevalence of electronic records, at least four groups have an interest in records:

1. Program Staff

2. Records Management Staff

3. Information Technology Staff

4. Legal Counsel Staff

How do we get all four groups to work together?

What Did NARA Decide to Do?

Redesign Federal Records Management

Current efforts grow out of the July 2002 “NARA Proposal for a Redesign of Federal Records Management”

“NARA’s Strategic Directions for Federal Records Management” dated July 31, 2003

NARA’s Current Mission

NARA will ensure ready access to essential evidence that documents:

The rights of American citizens The actions of Federal officials The national experience

NARA’s Current Strategic Plan

1. Essential evidence is created, identified, appropriately scheduled, and managed for as long as needed.

2. Electronic records are controlled, preserved, and made accessible for as long as needed.

3. Essential evidence is easy to access regardless of where it is or where users are for as long as needed.

4. All records are preserved in an appropriate environment for use as long as needed.

5. NARA strategically manages and aligns staff, technology, and processes to achieve our mission.

3 Overall Goals of RM Redesign

1. Federal agencies can economically and effectively create and manage records necessary to meet business needs.

2. Records are kept long enough to protect rights and assure accountability.

3. Records of archival value are preserved and made available for future generations.

Nine Strategies

1. Mutually supporting relationships with agencies that advance agency missions and effective records management.

2. Demonstrate that effective records management adds value to business processes.

3. There is no one level to which records must be managed.

4. Agencies may choose a variety of means to manage their records.

Nine Strategies

5. NARA will focus on trustworthy records and concepts in ISO 15489 (Records Management):

Authenticity Reliability Integrity Usability

By analyzing business processes, and using risk management techniques, help agencies managing

their records and information as an asset.

Nine Strategies

6. NARA will focus on accountability, protection of rights, and documentation of national experience.

7. NARA will prioritize based on rights and accountability; archival value; and risk to records.

8. NARA will partner with other agencies to develop, adapt, or adopt products and practices that support good records management.

Nine Strategies

9. NARA will provide leadership, in partnership with other key stakeholders, to focus agency attention on electronic records needs.

26 Tactics to Carry Out Strategies and Achieve Records Management Goals

Communications Tactics1. Advocacy

2. Change Management

Guidance and Training3. Records Management Training

4. Certification

5. Guidance and Regulations


Assistance to Agencies6. Resource Allocation

7. Targeted Assistance

Oversight8. Inspections

9. Studies

10. Reporting


Records Management Tools11. Further develop DOD Standard 5015.2

12. Records Management Service Components for Agency Enterprise Architectures


Business Process Reengineering

13. Business Process Engineering

14. Planning Tools – build RM considerations into procurement processes for new systems

15. Evaluation Tools – help agencies evaluate how effectively they are managing records


Scheduling and Appraisal16. Flexible Scheduling

17. Expanded General Records Schedules

18. Retention Standards for Functional Areas

19. Appraisal Policy

20. Front-End Scheduling

21. Mandatory Destruction


Records Center and Archival Activities22. Records Center Program and electronic

records services

23. Custody Policy

24. Expanded Formats for Archival Records Transfers

25. Pre-Accessioning

26. Pre-Description

How Will NARA Measure Success?6 Ways

1. NARA provides leadership in RM throughout the Government.

2. NARA is agile in adapting to changes in IT and in the Federal recordkeeping environment.

3. Agency leaders view RM as an important component of asset and risk management.

How Will NARA Measure Success?6 Ways

4. Federal agencies have the RM tools necessary to support their business needs.

5. More people know about, use, and benefit from NARA services.

6. Current and future users of records have ready access to essential evidence regardless of where it is or where they are.

National Records Management Program

NARA has approximately 100 FTE to carry out the records management mission.

There are over 300 organizational units that NARA provides services to.

NARA has to focus and organize its records management efforts around the three strategic goals:

Support Business Needs Protect Rights / Assure Accountability Preserve / Make Available Permanent Records

National Records Management Program

1. Electronic Records Issues

2. Records Management Training and Advocacy

3. Targeted Assistance – Service to Customer Agencies

4. Internal Commitments and Needs

5. Staff Development

Since NARA has limited resources, we need to focus and organize these resources on areas that support

the strategic goals of our agency.

Records Management Training Program

Present consistent content across the NARA Records Management Program.

Develop content for agency records staff AND other professionals (Program Staff, Legal Counsel, IT Staff)

Use a modular approach to develop content to tailor courses to the needs of agency customers in headquarters and field units.

Use adult learning techniques to convey material. Develop on-line capabilities for certification testing

and for course content delivery.


Organized around six Knowledge Areas1. Records Management Fundamentals

2. Creating and Maintaining Agency Business Information

3. Records Scheduling

4. Schedule Implementation

5. Asset and Risk Management

6. Records Management Program Development


Certification Agency staff who complete each of the Knowledge

Areas will be eligible to take a certification exam. Agency staff who pass certification exams for each

Knowledge Area will receive “NARA’s Certificate of Completion in Federal Records Management” signed by the Archivist of the United States.

Agency staff are not required to be certified. Does not replace other professional certification

programs (Certified Records Manager – CRM or Certified Archivist – CA).

Provide targeted training to Federal records management professionals.


Information and Records Management Professionals Courses Managing Agency Information Risk Assessment Integrating Records Management Into Information

Management Managing Records Responsibly

Provide targeted training to:(1) program managers

(2) legal counsels(3) information technology professionals

Comments or Questions

Paul M. Wester, Jr.

[email protected]

www.archives.gov

[english]

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