6.1: Records Management
Other Information:
Records Management: The Backbone of Open Government (http://www.archives.gov/records-mgmt/) - The backbone of a transparent
and accountable government is good records management. To put it simply, the Government cannot be accountable if it does not
preserve – and cannot find – its records. Across the Government we are falling short in our records management responsibilities,
particularly in regard to the exponential growth in electronic records. The long-term success of the Open Government initiative
– and the future of the National Archives – hinges on the ability of each Federal agency to effectively manage its records.
At the National Archives and Records Administration, our records management approach is grounded in these three principles:
* Federal agencies must economically and effectively create and manage records necessary to meet business needs. * Federal
records must be kept long enough to protect rights and assure accountability. * Federal records of archival value must be
preserved and made available for future generations. National Records Management Program - We have a National Records Management
Program made up of nearly 100 full-time staff members located in the Washington, DC, area and around the country. These records
and information management professionals actively work with the Federal records officers in over 250 different Federal agencies
across the Federal Government. The National Records Management Program staff members develop electronic records management
policy and guidance for Federal agencies. They provide records management training to Federal records officers, IT professionals,
legal counsels, program managers, and private contractors who provide records management services to Federal agencies. They
conduct studies and analyses of recordkeeping practices in Federal agencies so others can learn best practices and avoid the
costly mistakes of others. Additionally, they work with Federal records officers to conduct self-assessments of their agencies’
records management programs, using the Archivist’s statutory authority to conduct inspections and report findings to the appropriate
oversight committees and the Office of Management and Budget (OMB). The National Records Management Program staff members
work with Federal records officers to schedule and appraise the records that each agency creates to ensure adequate and proper
documentation of our Government’s actions. This statutory authority – to grant Federal agencies disposition authority to manage
their records – is the most important responsibility of the Archivist of the United States because it determines what records
will come to the National Archives for preservation and access by future generations. Records Schedules - During this process,
a Standard Form 115, Request for Disposition Authority, or "records schedule," is completed by the agency and approved by
NARA. The records schedule contains descriptions of records series (a grouping of related records) or systems and disposition
instructions for each. These disposition instructions specify when each series is cut off, when records are eligible to be
moved to off-site storage, when temporary records must be destroyed or deleted and when permanent records are to be transferred
to NARA. In February 2010, NARA unveiled a new portal on its web site that provides scanned images of all post-1985, unclassified,
NARA-approved records schedules. For the first time, these records can be seen on the National Archives Records Control Schedule
web site at http://www.archives.gov/records-mgmt/rcs. Records schedules for the period between 1973 and 1985 will soon be
added to the site. Newly approved schedules will be posted weekly. This site was created as a way for NARA to respond to requests
for greater transparency in records scheduling from some public interest groups. Ensuring Open Government Values are Realized
- Given that the central values of Open Government are transparency, citizen participation, and collaboration, and that records
management is the backbone of Open Government, the central question is: What is needed to ensure that the Open Government
values are realized and that NARA’s mission is accomplished, at least with respect to Federal records management? First, heads
of agencies and senior leaders across the Federal Government need to understand that the records and information they and
their organizations are creating are national assets that must be effectively managed and secured so that the public can be
assured of the authenticity of the record. Heads of agencies and senior leaders need to be held accountable for managing these
assets. Not only is it required by law in the Federal Records Act; effective records management – adequate and proper documentation
of the Federal Government’s activities and transactions – is Good Government and a necessary condition of an Open Government.
Today, Federal agencies are not doing an effective job managing their records and other information assets to meet their business
needs, to protect rights or assure accountability for the citizen or the Federal Government itself, or to ensure records that
document the national experience are preserved and made available for future generations in the National Archives. Cause for
Concern - The National Archives will send to Congress and the OMB a report based on agency self-assessments carried out in
September 2009 and on analysis of other data related to compliance with records scheduling requirements in the Federal Records
Act and the E-Government Act of 2002. Our preliminary analysis of the self-assessment data alone suggests that 79 percent
of reporting agencies have moderate to high levels of risk associated with their records management programs, particularly
their management of electronic records. These levels of risk in agencies are a great concern. One of the central ways we can
begin to deal with this risk is to make the case that these records and information are national assets, and then hold heads
of agencies and senior leaders accountable for their management and protection. Electronic Records management - NARA will
also continue to provide a wide variety of electronic records management guidance and best practices for Federal agencies
in order to assist them in addressing these identified deficiencies. One of the best resources for locating electronic records
management guidance is our Toolkit for Managing Electronic Records, available at http://toolkit.archives.gov. The toolkit
is a web resource that provides hyperlinks to a collection of guidance products for managing electronic records that have
been developed by NARA and other organizations. Working within the National Records Management program, we will continue to
produce additional guidance and conduct relevant studies. This year, we are conducting a study of agencies' use of Web 2.0
tools and will provide further guidance to Agency Heads regarding the recordkeeping impacts of the use of these technologies
as well as additional guidance on Federal use of cloud computing solutions. Second, as agency heads and senior leaders are
held accountable for managing their records and information, they also must work with the National Archives, the General Services
Administration (GSA), and OMB, as well as with groups like the CIO Council, the Federal Records Council, and the Federal Web
Managers Community, to develop the IT tools necessary to manage electronic records in cost effective ways. The technical challenges
associated with developing the IT tools for records management are not insignificant; however, these tools do not exist today
because heads of agencies and senior leaders across the Federal Government have not been held accountable in meaningful ways
for meeting their Federal records and information management obligations. The Federal Government spends over $70 billion annually
on information technology, most – if not all – of which create or receive Federal records in some form. Developing cost-effective
electronic records management tools that work – and then integrating them into agency IT systems – is essential to managing
this national asset. Toward this end, we look forward to building on existing work done by the leading information policy
agencies like OMB and GSA – as well as formal advisory or policymaking groups like the CIO Council, the Federal Records Council,
and others – to increase visibility and raise accountability around the electronic records management issue. With these other
agencies and groups, NARA will take a leadership role finding and developing the cost effective IT solutions needed to meet
the electronic records management challenges found in Federal agencies today. Providing Incentives for Innovation - As an
incentive in all of these areas, NARA will work on expanding the criteria and categories for the existing annual Archivist
Achievement Awards in Records Management. These expanded awards will recognize significant agency records management contributions
towards the principles of Open Government or those agencies that best demonstrate innovation in records management activities.
Stakeholder(s):
- General Services Administration (GSA)
- Office of Management and Budget (OMB)
- CIO Council
- Federal Records Council
- Federal Web Managers Community
- Agency Heads
Indicator(s):
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