Electronic Records
and what NARA is doing
about them
& NARA Resources
R
that
th t
can help you
Donna Read, CRM
y
Senior Records Analyst
NARA-Southeast Region
ARMA SE
Regional Conf
April 2010
What is NARA?
In 1985, NARA became an independent agency under
the Executive Branch of the Federal government.
The National Archives and Records Administration is a
public trust on which our democracy depends.
We ensure continuing access to essential evidence that
documents:



The rights of American citizens
The actions of federal officials
The national experience
www.archives.gov
What Does NARA Do?
Preserve and make available documents and
materials created byy the United States Federal
government.
Some of our holdings:






Charters of Freedom
Declaration of Independence
Constitution
Bill of Rights
Emancipation
p
Proclamation
Louisiana Purchase Treaty
www.archives.gov
Where Is NARA?

Archives I in Washington, DC

Archives II in College Park, MD

21 Regional records and archive facilities located across the
country
t iin 21 states
t t and
d th
the Di
District
t i t off C
Columbia
l bi

3 Satellite offices - Florida, Texas and New Mexico

14 Presidential Libraries

8 Affiliated Archives in 7 states
www.archives.gov
What Does NARA Have in Common With
Non-Federal Entities?
We’re all governed by laws that pertain to records.

Federal Records Act of 1950

Florida Sunshine Law of 1967

Sarbanes Oxley Act of 2002
www.archives.gov
Severall Elephants
S
El h t in
i the
th Room
R
with
ith Multiple
M lti l
Personality Disorders! (Better known as Electronic Records)

Variety - Over 17,000 formats for e-records

Complexity – Increasingly sophisticated formats

Volume – Vast quantities of records

Obsolescence – Constantly changing technology

User Expectations – Evolving, unrelenting
www.archives.gov
Anybody
y
y Else Having
g Problems
with E-Records????






Aerospace
Pharmaceuticals
Energy
Transportation
El t i
Electronics
Services
Actually, every enterprise and individual who has need
to access electronic materials beyond 5-10 years.
www.archives.gov
What is NARA Doing about
Electronic Records?
The ERA!!!

“The Electronic Records Archives ((ERA)) will
be a comprehensive, systematic, and
dynamic means for preserving virtually
any kind of electronic record, free from
dependence on any specific
h d
hardware
or software.”
ft
”
http://www.archives.gov/era/
www.archives.gov
Government and Private Sector
Partners
National
Science
Foundation
Global Grid
Forum
San Diego Super
Computer
p
Center
National Computational
Science Alliance
Army Research
Laboratory
NIST
National Institute of Standards
& Technology
National Partnership for
Advanced Computational
Infrastructure
www.archives.gov
ERA Requirements

Persistent
To manage and access the records over time.

Authentic
To ensure that these are the original records
Records that are created with attached
documentary information

Scalable
To grow and
T
d adapt
d t to
t iincreasing
i volumes
l
and
d
evolving types of electronic records
To serve
se e a variety
a iet of user
se g
groups
o ps
www.archives.gov
Increment 3
www.archives.gov
Architecture Requirements

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Open Event Driven Architecture
Evolvable
Integrated COTS
Central Business Rule Repository
Di t ib t d / G
Distributed
Grid
id Centric
C t i / Self-managing
S lf
i
Secure / Classified As Well As Unclassified
Highly Scaleable In All Dimensions
HW / SW Independent Component Intermediation
Highly Reliable
www.archives.gov
Where Are We Now on ERA?



On September 8, 2005 NARA started the process with the
contract awarded to Lockheed Martin and enlisted 4
agencies as part of the pilot.
Currently
l the
h system has
h ingested
d more than
h 67 gigabytes
b
of materials, some of from existing collections some from
the pilot agencies.
77 terabytes of data from the Bush presidency had gone
into the ERA system (35 times the amount of data from
the Clinton White House
www.archives.gov
Additional RM Resources

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www.archives.gov/records-mgmt
General Records Schedule
RM Toolkit
RM Training and Certification
Electronic Records Guidance
FAQs and more
www.archives.gov
www.archives.gov
General Records Schedule
http://www.archives.gov/recordsmgmt/ardor/records-schedules.html
/ d /
d
h d l h l
25 Schedules for commonly generated records from
Payroll to Information Technology Operations
www.archives.gov
RM Toolkit


http://www.archives.gov/recordsmgmt/toolkit/
List of all 71 tools in the kit
Ex: NARA Bulletin 2008-05: Guidance
concerning the
h use off e-maill archiving
h
applications to store e-mail
www.archives.gov
Training
http://www.archives.gov/recordsp //
g /
mgmt/training/
6 Knowledge Areas of Records
Management
Plus – Basic Records Operation, Survival Guide for IT Professionals, RM for Federal Legal
Counsel, Recordkeeping: A Program Manager’s Survival Guide, Electronic Records Mgt.,
Advanced Electronic Records Mgt., Vital Records, & Records Emergency Planning &
R
Response
www.archives.gov
Electronic Records
Guidance Bulletins


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http://www.archives.gov/recordsmgmt/initiatives/erm-guidance.html
Guidance for Building an Effective Enterprise-wide Electronic
Records Management (ERM) Structure
Evaluating Commercial Off-the-Shelf
Off the Shelf (COTS) Electronic Records
Management Applications
Transfer of Permanent E-records to NARA
Federal Enterprise Architecture Records Management Profile
Methodology for Determining Agency-unique Requirements
Coordinating the Evaluation of Capital Planning & Investment
Control Proposal for ERM Applications ……and
and more
www.archives.gov
Guidance for Building an Effective Enterprisewide Electronic Records Management (ERM)
Governance Structure






19 page document
Defines governance
Tips for good ERM project governance
Essential Elements
Illustrative Model of Governance Bodies at
Work
Lessons Learned
www.archives.gov
Transfer of Permanent E-records to NARA
Transfer Instructions for:
 Existing E-mail Messages with Attachments
 Scanned Images of Textual Records
 Permanent E-records in Portable Document Format
(PDF)
 XML schema for RM and archival metadata
 Digital Photographic Records
 Digital Geospatial Data Records (GIS)
 Web Content Records
www.archives.gov
How Can NARA’s Transfer Instructions Help Me?

They include technical specifications for transfer

Definitions of what is to be included

Documentation that needs to accompany transfers

Formats accepted

Security settings that will allow future access
www.archives.gov
For Example


Technical Review of Potentially Permanent Digital
Geospatial Data – System Information
Information, Data
Construction, Technical Documentation…..
Image Quality Specification for Digital Photographic
Records – Records created using digital cameras
must be captured as 2 megapixel files or greater with
a minimum pixel array of 1,600 pixel by 1,200 pixels.
www.archives.gov
ETC.

For transfer of scanned images of textual records
NARA will accept TIFF, GIF, BIIF, and PNG formats.
Bitonal (1
(1-bit)
bit) scanned at 300-6–
300 6 ppi,
ppi Gray scale (8(8
bit_ scanned at 300-4– ppi, Color (24-bit RGB [Red,
Grenn, Blue]) scanned at 300-4– ppi.
www.archives.gov
Federal Enterprise Architecture (FEA)
Records Management Profile





72 page document
Framework that overlays 5 other Reference Models
How to use the RM Profile to improve records
managementt
How RM is integrated in the SDLC (Systems
Development Lifecycle)
NARA’s endorsement of records management
applications
www.archives.gov
Methodology for Determining
Agency-unique Requirements






15 page document
Requirements classification
Best practices when customizing 5015.2certified RMA software
Review of existing systems
Review of Infrastructure/It architecture
Stakeholder review
www.archives.gov
Frequently
q
y Asked Questions
About Records Management
http://www.archives.gov/records-mgmt/faqs/

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
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FAQs About Records Management in General
FAQs About Federal Records Management
FAQs About Records Management Training
FAQs About Scheduling and Disposition
FAQs About Records Inventories
FAQs
Q About Optical
p
Media
FAQs About Imaged Records
FAQs About Irradiated Mail
Additional Records Management Assistance
www.archives.gov
Miscellaneous Guidance



Guidance for flexible scheduling
Technical Guidelines for Digitizing Archival
M t i l for
Materials
f Electronic
El t i Access:
A
Creation
C ti off
Production Master Files – Raster Images
Records Storage Facility Standards
www.archives.gov
If you are a Federal Entity


Targeted
g
Assistance is available to you.
y
A customer driven
driven, problem-solving
approach to records management
www.archives.gov
Other Resources






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www.arma.org
www.aiim.org
www.saa.org
www frma org
www.frma.org
ISO 15489
DoD 5015.2
MoReq
q
www.archives.gov
Questions????
United
U
i d States
S
vs
John Henry
Hardin
1927
www.archives.gov
Thank you very much
Donna Read, CRM
Senior Records Analyst
NARA-Southeast Region
Palm Harbor, Florida
727-781-0568
Donna.read@nara.gov
www.archives.gov