5.2.2: Records Management Requirements

Meet records management requirements.

Other Information:

Policy and Governance The DOT has issued an RM Directive, in accordance with 36 Code of Federal Regulations, Subchapter B – Records Management, and the E-Government Act of 2002, that identifies the principles, responsibilities, and requirements for managing DOT records. The DOT’s RM Directive provides the framework for DOT OAs to follow in complying with Federal laws, regulations and best practices for managing their records. The DOT plans to facilitate employees’ compliance with the principles of the Open Government Directive by increasing employees’ awareness of RM requirements, improving the DOT’s RM program, and providing additional supporting policy and governance to address any new RM issues that arise. We will also continue to identify opportunities for integrating RM into the planning processes for new business needs, projects and programs. Training In January 2010, OGC provided e-discovery training to IT and RM stakeholders. Trainers emphasized the importance of maintaining complete inventories of the DOT’s databases and records and the retention periods and practices applicable to them. As stated above, the Department plans to improve its RM implementation through increased employee awareness, including training. Improving Dissemination Practices The DOT is improving its dissemination practices using existing and newly implemented Web capabilities. In March 2010, we developed an RM intranet and by April 2010, as part of the Open Government Directive, we plan to launch an Internet site to provide foundational information reflecting how DOT is addressing RM requirements. Both the intranet and Internet Web sites will provide a “one-stop shop” to view a variety of materials related to DOT’s RM mission and practices, as well as policies, guidance, and training opportunities. Internal Dissemination In 2009, the DOT conducted an internal survey to determine the types of information RM stakeholders wanted to see on the RM intranet site. Thus far, we have posted a subset of the information the RM stakeholders requested, and we are continually working to post more. Examples of information posted to the RM intranet site thus far: • DOT RM policy; • Links to National Archives and Records Administration (NARA) guidance and training; • Working documents; • Activity calendar; • Records inventory and schedules; and • DOT Records Officer contact information. The DOT will use the RM intranet site to standardize RM processes and streamline the ability to collect and share timely and accurate RM information throughout the Department. Making RM information available on the intranet increases our ability to collaborate with employees and RM personnel across the Department and facilitates their compliance with RM requirements. External Dissemination The DOT will make more information about its RM program publicly available through the new DOT RM Internet site, which will be linked to the DOT’s Open Government Web site. Via the new DOT RM Web site, external entities, such as NARA and the general public, will have access to the same foundational RM information reflecting the state of our RM program that we maintain on the intranet site, excluding working documents and information inappropriate for release due to privacy, security, or other reasons. We plan to use our external email box, DOTRecords@dot.gov, to allow citizens to comment on the effectiveness of our RM program and recommend the types of information they are interested in accessing through the Internet. During the first quarter of FY 2010, citizens had the opportunity to provide ideas to the DOT on the following RM-related topics: improving the availability and quality of information; improving working relationships between those inside and outside the government; and improving efficiency and innovation. By receiving and assessing the ideas and comments captured through these avenues of public participation, we can enhance the types of RM information we post internally and externally. This will reflect what our audience finds most useful, which will not only provide transparency, but increase the value of the information. Minimizing Duplication The DOT is closely monitoring NARA’s effort to implement an Electronic Records Archive (ERA), as the ERA will affect future DOT RM IT investments. The ERA will allow NARA to preserve virtually any kind of electronic record, free from dependence on any specific hardware or software. When operational, ERA is expected to support NARA's mission by making it easy for the public and Government officials to find, use, and rely on electronic federal records, and to make it easy for NARA to deliver those records in formats that people can readily use. We plan to use RM tools and resource materials that NARA makes publicly available on its Web site, rather than creating duplicative tools and materials; and we plan to provide links to the tools and materials on NARA’s Web site, rather than creating duplicative postings on the DOT’s RM Web sites. Because NARA recently posted Federal agency records schedules on its Web site, it is not necessary for DOT to post DOT’s records schedules on the DOT’s RM Web sites. We are studying NARA’s Web site to determine what information to collect and maintain on DOT’s RM Web sites.

Indicator(s):

Indicator:1

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