FIRST ANNUAL FIRM FEDERAL INFORMATION AND RECORDS MANAGERS SUMMIT

Tuesday, June 15, 1999

AGENDA

Welcome and Introduction John Paul Deley

What is FIRM - Introduce Board Carol Brock, CRM

Introduce Association Representatives Present John Paul Deley

FY 2000 FIRM Community Initiatives see page 3

Speakers on Selected Initiatives: Mark Giguere Michael Miller Jason R. Baron CIO Council Rep. Paul Wohlleben Bonnie Curtin Brenda Samuels April Ryan GPO Rep. NIRMA Rep. Chris Olson, CRM

FIRM Committees and Workgroups Greg Fraser

FIRM Best Practices John Paul Deley

Discussion on FIRM Issues All

Discussion on Methodology for Sharing Resources and Working Together All

Conclusions and Decisions

Wrap-Up and Announcement of Summit II PURPOSE OF THE FEDERAL INFORMATION AND RECORDS MANAGERS COUNCIL:

The purpose of the Council is to improve the efficiency and effectiveness of Federal Information and Records Managers (FIRM) functions in all agencies by providing a forum for sharing knowledge, resources, and methodologies for the implementation and evaluation of systems and practices. Objectives of the FIRM Council include:

A. Providing leadership to the FIRM Community as it creates partnerships with archivists, librarians, program staff, technical staff, the information industry, professional associations, and other information management professionals to: 1. manage the life cycle of federal information, and 2. protect the nation's documentary heritage.

B. Providing advice and assistance to the National Archives and Records Administration (NARA); the Office of Management and Budget; the Government Accounting Office; the Office of Personnel Management; the National Institute for Standards and Technology; the General Services Administration; and other federal entities charged with oversight of information and records management.

C. Providing a forum to advance professional knowledge and techniques through educational programs, workshops, seminars, and by sharing experiences, approaches, and information related to the records management profession.

WHOSE A MEMBER OF FIRM?

All FEDERAL Records Managers and their staffs, All Chief Information Officers and their staffs, Everyone who works with Government Information and Federal Records including but not limited to: Archivists, Librarians, Historians, FOIA Staff, Technology Specialists, Webmasters, and Public Access providers.

FIRM BOARD MEMBER FY99-00:

Carol Brock, CRM, Chair Anne Baker, Vice Chair John Vasko, Secretary

Charley Barth Mary Rawlings-Milton Bruce Campbell Alice Gannon, CRM John Paul Deley Rachel Van Wingen Nancy Miller Greg Fraser FEDERAL INFORMATION AND RECORDS MANAGEMENT INITIATIVES 1999-2000

Schedule Electronic copies of already scheduled records (99-04) NARA

Fast Track NARA

Implementation of Paperwork Elimination Act OMB

Certification of Records Management Software DOD

Business Process Re-Engineering NARA

Government Imaging Standard DOD

Purchasing Document Management Services GSA

Government Information Locator Service OMB

Carlin vs. Public Citizen DOJ

Standards for Records Storage NARA

Other

Other

Other

Other

Other

Other

FIRM COUNCIL WORKGROUPS AND COMMITTEES

ELECTRONIC RECORDS WORKGROUP LEADER: JOHN VASKO

Next Meeting: (Day, Place, Time)

Software Application Committee Chair: Mary Rawlings-Milton

System Management Committee Chair: ?

Standards Committee Chair: Alice Gannon, CRM

Scheduling Committee Chair: ?

CONTRACTED RECORDS MANAGEMENT SERVICES WORKGROUP

LEADER: ? Next Meeting: (Day, Place, Time)

Off-Site Storage Committee Chair: ?

Next Meeting: 6/18/99 at the National Archives at College Park, 8601 Adelphi Rd., College Park, MD from 10 am - noon.

Working with the Federal Contractor Community Chair: ?

NARA BUSINESS PROCESS RE-ENGINEERING WORKGROUP

LEADER: JOHN PAUL DELEY

Next Meeting: Monday, June 21, NARA BRIDG in Room 105, 7th and Pennsylvania, Ave. NW

TRAINING AND PROFESSIONAL DEVELOPMENT WORKGROUP

LEADER: Greg Fraser Next Meeting: (Day, Place, Time)

FIRM BOARD OF DIRECTORS 1999 / 2000

1.Anne Baker, Records Management Officer, OFA-53 National Oceanic & Atmospheric Administration U.S. Department of Commerce 1305 East-West Highway Silver Spring, MD 20910 Phone: 301/713-3540, x. 145 FAX: 301/713-2303 E-Mail: anne.j.baker@agf.noaa.gov

2. Charley Barth, Leading Edge Services Manager Department of the Navy CIO's Office 2511 Jefferson Davis Highway Presidential Towers, Suite 2100 Arlington, VA 22202 Phone: 703/602-6526 FAX: 703/602-4668 E-Mail: barth.charley@hq.navy.mil

3. Carol Brock, CRM, Records Manager Overseas Private Investment Corporation 1100 New York Avenue, N.W. Washington, DC 20527 Phone: 202/336-8563 Fax: 202/218-0304 E-Mail: cbrock@opic.gov

4.Bruce Campbell, Records Manager 8. Nancy Miller, Records Manager Pension Benefit Guaranty Corporation National Labor Relations Board 1200 K Street, N.W., Suite 450 1099 14th Street, N.W. Washington, D.C. 20005 Washington, D.C. 20507 Phone: 202/326-4000, x. 3261 Phone: 202/273-2833 FAX: 202/326-4153 FAX: 202/273-4286 E-Mail: campbell.bruce.I.@pbgc.gov E-Mail: nmiller@nlrb.gov

5. John Paul Deley, Archivist/Records Manager 9. Mary Rawlings-Milton Federal Trade Commission Office of Thrift Supervision 6th Street & Pennsylvania Ave., N.W., Rm. 172 1700 G Street, N.W. Washington, DC 20580 Washington, D.C. 20552 Phone: 202/326-2085 Phone: 202/906-6028 Fax: 202/326-2496 FAX: 202/906-7315 E-Mail: jdeley@ftc.gov E-Mail: mary.rawlingsmilton@ots.treas.gov

6. Greg Fraser, Chief, IMS Division 10. Rachel VanWingen, Agency Records Officer CIA - Plaza A, Rm. 3N37 Environmental Protection Agency Washington, D.C. 20505 401 M Street, S.W. Phone: 703/613-1705 Washington, D.C. 20460 FAX: 703/281-8954 Phone: 202/260-9709 E-Mail: glfrase@erols.com FAX: 202/410-8390 E-Mail: vanwingen.rachel@epa.gov

7. Alice Gannon, CRM, Records Management Officer 11. John Vasko, Records/Policy Officer Office of Federal Housing Enterprise Oversight CIA -- DO/IMS 1700 G St., N.W. 4th Floor Washington, D.C. 20505 Washington, D.C. 20552 Phone: 703/482-1171 Phone: 202/414-3791 FAX: 703/482-3458 FAX: 202/414-8917 E-Mail: jjjvasko@juno.com E-Mail: agannon@ofheo.gov

CIO COUNCIL INITIATIVES (From CIO Web Page)

CIO Interoperability Committee

Complete action plan for developing interoperability criteria. Complete summary of Federal Information Architecture approaches and models. Establish Federal testbed to validate E-mail product interoperability. Issue first phase report with recommendations to the Council. Complete draft conceptual model for a Federal Enterprises Information Architecture. Issue government-wide E-mail strategy through OMB.

CIO Capital Planning Committee:

Complete annual process of documenting best practices from private sector.

CIO Outreach Committee:

Conduct quarterly CIO Roundtables with private sector.

CIO Security Committee:

Partner with GAO, PCIE and others to institutionalize sound security practices. Partner with IAC to produce guidance on funding security programs.

CIO Year 2000

Establish and update a Web site to share information. Develop best practices document highlighting Year 2000 information. Work with industry groups to communicate government-wide Year 2000 needs. Consider leveraging Year 2000 resources across agencies, if the need arises. Identify (i.e. use Y2K logo) Year 2000 compliant products on GSA Schedule Take a unified government approach in dealing with vendors that are not releasing Year 2000 versions in a timely manner.

FEDERAL INFORMATION AND RECORDS MANAGERS COUNCIL

APPLICATION FOR BEST PRACTICES

1. NAME AND ADDRESS OF AGENCY

2. RECORDS OFFICER AND CONTACT INFORMATION (phone. fax, e-mail)

3. TITLE OF MODEL PROJECT AND INCLUSIVE DATES (beginning/ending/ongoing)

4. PROJECT OBJECTIVE(S): (50 words or less)

5. RESOURCES EXPENDED (staff time - FTE and contractor; money spent; training needed; travel; etc...)

6. PROJECT METHODOLOGY: (100 words or less)

7. PROJECT RESULTS: (50 words or less)

8. BENEFITS APPLICABLE TO ALL FEDERAL AGENCIES: (50 words or less)

9. ENDORSEMENT OF AGENCY RECORDS MANAGER, CIO AND AGENCY HEAD

10. ENDORSEMENT BY FIRM MEMBERS FROM FIVE OTHER AGENCIES.

CRITERIA FOR (FIRM BOARDS) EVALUATION OF BEST PRACTICES

DID THE PRJECT: 1. Save Time

2. Save Money

3. Save Space

4. Improve Accessibility to Official Records

5. Improve Efficiency of Workflow / Business Processes

6. Improve Accountability

7. Improve Security

8. Improve Preservation Strategy for Archival (or Long Term Storage) of Records

9. Improve Disposition Procedures

10. Improve Public Image / Perception / Training

APPLICATIONS WILL BE EVALUATED FOUR TIMES A YEAR: Deadlines for Submissions are: April 1, July 1, October 1 and January 1. Questions can be addressed to any FIRM Board Member.

Mail Completed Applications to: FIRM - Best Practices c/o John Paul Deley Federal Trade Commission, H-172 6th street and Pennsylvania Avenue, NW Washington, DC 20580

SUMMIT DISCUSSION STARTERS

Much of Federal Records Management is just good common sense. Many of the functions performed routinely by Federal Records Management staff are mandated by Federal law, recommended by agencies with oversight of some aspect of federal record keeping or suggested by professional associations or leading industry consultants. However, in a vibrant information environment that is characterized by rapid change, there is often a gap between the time cost effective and responsible strategies and solutions are developed and those same functions are codified in statute or agreed upon by formal institutions. The following discussion starters are examples of issues which might (or might not) guide FIRM members in establishing criteria for managing records at all phases of the life cycle during the interim between common sense and the fruits of the consensus building process. These discussion starters are to be taken as ideas on the table. They may be modified and refined in the future and may frequently be amended to reflect alterations in the political reality of community perceptions. They are not intended to be authoritarian pronouncements. Rather, they are intended to provoke discussion, fill the statutory vacuum and lead to uniform and consistent record keeping practices throughout the federal government.

1. The decision to convert scheduled record information from one format to another should never be taken without first conducting a formal cost / benefit analysis.

2. Federal information that has been scheduled for permanent retention and that is stored on electronic media should ONLY be retrievable with non-proprietary software.

3. All Federal records stored in paper format should be physically obtainable by its primary customer within twenty-four hours of a request being made.

4. You cannot appraise an electronic system of records without understanding that systems context - how it fits in (is integrated) with other systems in the business processes of a federal agency. Many systems of federal record in FY99 are in multiple formats / media.

5. The success of knowledge management software depends upon an appreciation for the nuances associated with the concept of corporate ownership of data. Public documents should be accessible using shared federal metadata standards.

6. Federal Webmasters should focus their attention not on building faster cars, but on building better highways. Search engines are only effective in finding what a user wants IF the accuracy and integrity of the information they index is controlled and safeguarded.

7. Before any electronic records management system is designed or installed, a thorough assessment should be made of the existing paper system. If an evaluation of the manual system shows that performance in the creation, maintenance, use and disposition of the record could be improved, this should be done prior to the writing of a single functional requirement for an automated system. If the paper system has problems (lack of access points, inability to determine what should or should not be retained, etc...) then the automation of that system will only result in the duplication (and often multiplication) of those problems. All electronic record systems should be scheduled for disposition BEFORE they are put into production. The value of electronic records is not necessarily that same as that of their paper counterparts.

8. As a society we have spent trillions of dollars trying to get electronic images and text to look and function in the same way as their paper forebearers. That probably isnt what we really want. These two media are very different and both have record advantages and disadvantages. Effective records managers rejoice in their distinguishability. The moment we mistake one for the other will be tragic because we will have lost the best of both. Paper records are portable, stable and tangible. Electronic records are manipulable, compressable and pretty. Paper records are organic, humanly compatible, and historically viable for preservation. Electronic records are ephemeral, machine compatible and historically suspect. Human record keeping is not as much about truth as vanity. We want to keep most what makes us look good.

9. All retired paper files retired to inactive storage must be indexed at least at the box level.

10. Federal Records Management is most successful when it packages itself as a SERVICE not as a commodity. Federal Records Management is more about the process of assisting federal agencys fulfill their mission than it is about counting the number of boxes, bit and bytes.

11. In technology areas where no federal statutory standards exist the FIRM recommends the following:  all image files be stored in BIFF format  all electronic document management systems follow ODMA standards  all archival finding aids be MARC-AMC compatible

12. If a single record series is maintained in multiple formats throughout an organization, then a central finding aid in one format MUST be maintained by the Records Manager and designated as the Copy of Record.

13. Preservation = Transportation. The value of maintaining information in any record keeping format or system is directly related to the ease and cost of migrating that information to constantly up datable technology over time without significant data degradation.

14. The primary media used to create information should be the medium which can most cost effectively maintain the information throughout its life cycle. (ie. if created electronically - then its best preservation is electronic)

15. All federal agency e-mail systems should be able to segregate mail (sent from and received into) 3 categories: 1) agency record, 2) transmittal of agency non-record information, and 3) non-agency, non-federal personal paper; and be able to link the agency record to its appropriately scheduled series.

16. Federal agency information infrastructure should ALWAYS be developed with interagency exchange as a primary functional component.

17. There should be a direct one on one correlation between each (statutorily assigned - legislatively mandated) unique substantive function of an agency and the record series which documents that activity in order to meet the requirements for proper and adequate documentation.

18. Since effective agency disaster recovery programs do not exist in a vacuum. A central federal agency (NARA, FEMA, GSA, etc...) should provide context and coordination for all federal disaster recovery activities.

19. Until every American citizen has universal, free access to the tools necessary to interact in an electronic environment with their government, a democratic government will never be able to mandate electronic record keeping or electronic commerce. As we enter the next millennium more and more record series will be multi-media and more and more records will be appraised as ephemeral because the cost of their permanent preservation will be too high.

20. The paperless office is a utopian myth. Paper will not completely disappear from the federal workplace for at least the next fifty years.

Federal Information and Records Management

SUMMIT II

Thursday, June 15, 2000

************************

FIRM SEPTEMBER CONFERENCE

THE CHANGING ROLE OF THE FEDERAL RECORD IN THE NEXT MILLENIUM: ARE WE LIVING IN A NEW DARK AGE

CRITERIA FOR EVALUATING OBJECTIVES:

1. What did the FIRM accomplish during the past year?

2. Were partnerships formed between agencies and associations that proved to be productive?

3. Are members of the Information and Records Management Community better informed and organized?

HELPFUL WEB SITES FOR THE FEDERAL RECORDS MANAGER

The Federal Information and Record Managers Council Bulletin Board - Discussion Forum http://greenspun.com/bboard/q-and-a.tcl?topic=Federal%20Information%20and%20Records%20Managers%20Council

Multi-Agency Contracts: http://www.itpolicy.gsa.gov/mke/gwac/contrtoc.htm "Government-Wide Agency Contracts (GWAC) are contracts for various information technology resources owned by one Federal agency but which other specified Federal agencies can use."

Government Best Buys Buyers' Guide: http://www.fcw.com/pubs/gbb/guides.htm Buyers' Guides for Y2K, BPA's, GSA Schedule, GWAC's, DOD, and PC's.

GSA IT Acquisition Center: http://pub.fss.gsa.gov/servbtm.html Page with links to Financial Services, Information Technology Services, Organizational Management Services, Travel & Transportation Services, Services Acquisition Center, and Vehicle Acquisition and Leasing Services available through GSA.

Outsourcing Information Technology: http://www.itpolicy.gsa.gov/mkm/gsaepp/finalout.htm "This White Paper outlines the general processes involved in outsourcing. It also studies the problems involved in implementing outsourcing as well as securing the positive results of outsourcing efforts. Most importantly, it will give the Federal IT manager an understanding of the important issues to be addressed when making the outsourcing decision, as well as the factors to be considered in successfully implementing an outsourcing strategy.

Useful Web Sites for Archivists and Records Managers: http://www.nagara.org/clearinghouse/summer_97/slavin.htm "This list of useful web sites for archivists and records managers was compiled from numerous submissions provided NAGARA members."

The Office of Intergovernmental Solutions: http://policyworks.gov/org/main/mg/intergov "This web site is the gateway for governments to find out new directions around the world, what works and what doesn't work, and a first place to stop when contemplating major new investments in information technology.

Office of Government-wide Policy: http://www.policyworks.gov Links to a variety of government programs and policy organizations.

Sample Statements of Work for Federal Computer Security Services for use in-house or contracting out: http://csrc.nist.gov/nistir/ir4749.txt "The document presents the ideas and experiences of those involved with computer security. It supports the operational field with a set of Statements of Works (SOWs) describing significant computer security activities. While not a substitute for good computer security management, organization staff and government contractors can use these SOWs as a basis for a common understanding of each described activity."

American Film Institute's Preservation Site: http://www.afionline.org.

Association of Records Managers and Administrators (ARMA), International: www.arma.org.

Australian Classification System (Thesaurus) for City Government: http:www.records.nse.gov.au/rk/aaa/KeywordAAA.htm.

Australian Records Management RFP: http//www.ogit.gov.au/rational.html#RecordsManagement

Canadian's Electronic Archiving Project: http://www.slais.ubc.ca/users/duranti/.

Code of Federal Regulations (CFR): http://law.house.gov/cfr.htm

Commission on Preservation and Access: http://www.clir.org/pubs/reports/reports.html.

Commission on Preservation and Access: http://www-cpa.stanford.edu/cpa/index.html

Computer Professionals for Social Responsibility (CPSR) http://www.cpsr.org/dox/home.html

Data Warehousing Sites: http://www.mnhs.org/preserve/records/dwintro.html and http://www.mnhs.org/preserve/records/dwres.html.

DISA Joint Interoperability Test Command, Records Management Application (RMA) Certification Testing: http://jitc-emh.army.mil/recmgt/home3page.htm.

Department of Defense Records Management: http://www.dtic.dla.mil:80/c3i/recmgmt.html and http://www.rbarry.com/barrt2.html

Department of Defense -Records Management Task Force http://www.dtic.dla.mil/c3i/recmgmt.html

Department of Health and Human Services, Food and Drug Administration's Final Rule on Electronic Records and Electronic Signatures: http://frwebgate1.access.gpo.gov/egi-bin/...docID=820323233+9+0+)&WAISaction

DoD 5015.2-STD, Design Criteria Standard for Electronic Records Management Software Applications: http://jitc-emh.army.mil/record/home3.htm.

Disaster Preparedness and Response: http://palimpsest.stanford.edu/bytopic/disasters/index.html

Disaster Recovery Information: listdpra@makelist.com.

Electronic Frontier Foundation: http://www.eff.org/

EU Digital Records Guidelines: http://www2.echo.lu/dlm/en/home.html.

Executive Order 13011: http://www.itpolicy.gsa.gov/reg/exo13011/exo13011.htm.

Federal Computer Week http://www.fcw.com/ref/hottopics/records.htm

General Services Administration (GSA): http://www.gsa.gov/ http://www.itpolicy.gsa.gov/

Government Information Locator Service (GILS): http://www.nara.gov/gils/gils.html Z39.50:gils@wais.nara.gov/

Government Information Xchange: http://www.info.gov/txt_index.html

Government Performance and Results Act: gopher://pula.financenet.gov:70/00/docs/legis/gpra93.gop

Government Printing Office: http://www.access.gpo.gov/index.html

Information Technology Management Reform Act of 1996 (Summary): http://www.npr.gov/library/misc/itref.html.

Institute for Certified Records Managers (ICRM) http://www.mindspring.com/~dschewe/icrm/icrm.html NARA: http://www.nara.gov/records/index.html

National Security Archive Home Page: http://www.seas.gwu.edu/nsarchive/nsa

NIRMA Recommendations for Voluntary Utility EIE with NRC: http://www.fml.com/FML_Frame/nirma0.3.html#100.

OMB Circular A-130: http://www.whitehouse.gov/WH/EOP/OMB/html.a130.html.

OMB Memo regarding implementing the Information Dissemination Provisions of the PRA: http://www.whitehouse.gov/WH/EOP/OMB/html/disem.html.

PTO Corporate Plan: www.uspto.gov.

PTO Strategic Information Technology Plan: www.uspto.gov/web/offices/cio/cio-docs.htm.

Records Management List Serve: RECMGMT@LISTSERV.SYR.EDU.

Records Management Requirements for Electronic Recordkeeping (draft from NARA); gopher://gopher.nara.gov:70/00/managers/federal/publicat/funcreqs.txt.

Records Management-United Kingdom: http://britac3.britac.ac.uk/rms/index.html

Records Management Websites: http://www.flash.net/~survivor/websites.htm

U.S. Congress - Legislation: http://thomas.loc.gov/

World Wide Web Consortium - W3C Digital Signature Initiative Activity Statement http://www.w3c.org/Security/Dsig/Activity.htm.

Y2K Compliance Laws: www.businesslaws.com.

FIRST ANNUAL FIRM FEDERAL INFORMATION AND RECORDS MANAGERS SUMMIT

Tuesday, June 15, 1999

AGENDA

Welcome and Introduction John Paul Deley

What is FIRM - Introduce Board Carol Brock, CRM

Introduce Association Representatives Present John Paul Deley

FY 2000 FIRM Community Initiatives see page 3

Speakers on Selected Initiatives: Mark Giguere Michael Miller Jason R. Baron CIO Council Rep. Paul Wohlleben Bonnie Curtin Brenda Samuels April Ryan GPO Rep. NIRMA Rep. Chris Olson, CRM

FIRM Committees and Workgroups Greg Fraser

FIRM Best Practices John Paul Deley

Discussion on FIRM Issues All

Discussion on Methodology for Sharing Resources and Working Together All

Conclusions and Decisions

Wrap-Up and Announcement of Summit II PURPOSE OF THE FEDERAL INFORMATION AND RECORDS MANAGERS COUNCIL:

The purpose of the Council is to improve the efficiency and effectiveness of Federal Information and Records Managers (FIRM) functions in all agencies by providing a forum for sharing knowledge, resources, and methodologies for the implementation and evaluation of systems and practices. Objectives of the FIRM Council include:

A. Providing leadership to the FIRM Community as it creates partnerships with archivists, librarians, program staff, technical staff, the information industry, professional associations, and other information management professionals to: 1. manage the life cycle of federal information, and 2. protect the nation's documentary heritage.

B. Providing advice and assistance to the National Archives and Records Administration (NARA); the Office of Management and Budget; the Government Accounting Office; the Office of Personnel Management; the National Institute for Standards and Technology; the General Services Administration; and other federal entities charged with oversight of information and records management.

C. Providing a forum to advance professional knowledge and techniques through educational programs, workshops, seminars, and by sharing experiences, approaches, and information related to the records management profession.

WHOSE A MEMBER OF FIRM?

All FEDERAL Records Managers and their staffs, All Chief Information Officers and their staffs, Everyone who works with Government Information and Federal Records including but not limited to: Archivists, Librarians, Historians, FOIA Staff, Technology Specialists, Webmasters, and Public Access providers.

FIRM BOARD MEMBER FY99-00:

Carol Brock, CRM, Chair Anne Baker, Vice Chair John Vasko, Secretary

Charley Barth Mary Rawlings-Milton Bruce Campbell Alice Gannon, CRM John Paul Deley Rachel Van Wingen Nancy Miller Greg Fraser FEDERAL INFORMATION AND RECORDS MANAGEMENT INITIATIVES 1999-2000

Schedule Electronic copies of already scheduled records (99-04) NARA

Fast Track NARA

Implementation of Paperwork Elimination Act OMB

Certification of Records Management Software DOD

Business Process Re-Engineering NARA

Government Imaging Standard DOD

Purchasing Document Management Services GSA

Government Information Locator Service OMB

Carlin vs. Public Citizen DOJ

Standards for Records Storage NARA

Other

Other

Other

Other

Other

Other

FIRM COUNCIL WORKGROUPS AND COMMITTEES

ELECTRONIC RECORDS WORKGROUP LEADER: JOHN VASKO

Next Meeting: (Day, Place, Time)

Software Application Committee Chair: Mary Rawlings-Milton

System Management Committee Chair: ?

Standards Committee Chair: Alice Gannon, CRM

Scheduling Committee Chair: ?

CONTRACTED RECORDS MANAGEMENT SERVICES WORKGROUP

LEADER: ? Next Meeting: (Day, Place, Time)

Off-Site Storage Committee Chair: ?

Next Meeting: 6/18/99 at the National Archives at College Park, 8601 Adelphi Rd., College Park, MD from 10 am - noon.

Working with the Federal Contractor Community Chair: ?

NARA BUSINESS PROCESS RE-ENGINEERING WORKGROUP

LEADER: JOHN PAUL DELEY

Next Meeting: Monday, June 21, NARA BRIDG in Room 105, 7th and Pennsylvania, Ave. NW

TRAINING AND PROFESSIONAL DEVELOPMENT WORKGROUP

LEADER: Greg Fraser Next Meeting: (Day, Place, Time)

FIRM BOARD OF DIRECTORS 1999 / 2000

1.Anne Baker, Records Management Officer, OFA-53 National Oceanic & Atmospheric Administration U.S. Department of Commerce 1305 East-West Highway Silver Spring, MD 20910 Phone: 301/713-3540, x. 145 FAX: 301/713-2303 E-Mail: anne.j.baker@agf.noaa.gov

2. Charley Barth, Leading Edge Services Manager Department of the Navy CIO's Office 2511 Jefferson Davis Highway Presidential Towers, Suite 2100 Arlington, VA 22202 Phone: 703/602-6526 FAX: 703/602-4668 E-Mail: barth.charley@hq.navy.mil

3. Carol Brock, CRM, Records Manager Overseas Private Investment Corporation 1100 New York Avenue, N.W. Washington, DC 20527 Phone: 202/336-8563 Fax: 202/218-0304 E-Mail: cbrock@opic.gov

4.Bruce Campbell, Records Manager 8. Nancy Miller, Records Manager Pension Benefit Guaranty Corporation National Labor Relations Board 1200 K Street, N.W., Suite 450 1099 14th Street, N.W. Washington, D.C. 20005 Washington, D.C. 20507 Phone: 202/326-4000, x. 3261 Phone: 202/273-2833 FAX: 202/326-4153 FAX: 202/273-4286 E-Mail: campbell.bruce.I.@pbgc.gov E-Mail: nmiller@nlrb.gov

5. John Paul Deley, Archivist/Records Manager 9. Mary Rawlings-Milton Federal Trade Commission Office of Thrift Supervision 6th Street & Pennsylvania Ave., N.W., Rm. 172 1700 G Street, N.W. Washington, DC 20580 Washington, D.C. 20552 Phone: 202/326-2085 Phone: 202/906-6028 Fax: 202/326-2496 FAX: 202/906-7315 E-Mail: jdeley@ftc.gov E-Mail: mary.rawlingsmilton@ots.treas.gov

6. Greg Fraser, Chief, IMS Division 10. Rachel VanWingen, Agency Records Officer CIA - Plaza A, Rm. 3N37 Environmental Protection Agency Washington, D.C. 20505 401 M Street, S.W. Phone: 703/613-1705 Washington, D.C. 20460 FAX: 703/281-8954 Phone: 202/260-9709 E-Mail: glfrase@erols.com FAX: 202/410-8390 E-Mail: vanwingen.rachel@epa.gov

7. Alice Gannon, CRM, Records Management Officer 11. John Vasko, Records/Policy Officer Office of Federal Housing Enterprise Oversight CIA -- DO/IMS 1700 G St., N.W. 4th Floor Washington, D.C. 20505 Washington, D.C. 20552 Phone: 703/482-1171 Phone: 202/414-3791 FAX: 703/482-3458 FAX: 202/414-8917 E-Mail: jjjvasko@juno.com E-Mail: agannon@ofheo.gov

CIO COUNCIL INITIATIVES (From CIO Web Page)

CIO Interoperability Committee

Complete action plan for developing interoperability criteria. Complete summary of Federal Information Architecture approaches and models. Establish Federal testbed to validate E-mail product interoperability. Issue first phase report with recommendations to the Council. Complete draft conceptual model for a Federal Enterprises Information Architecture. Issue government-wide E-mail strategy through OMB.

CIO Capital Planning Committee:

Complete annual process of documenting best practices from private sector.

CIO Outreach Committee:

Conduct quarterly CIO Roundtables with private sector.

CIO Security Committee:

Partner with GAO, PCIE and others to institutionalize sound security practices. Partner with IAC to produce guidance on funding security programs.

CIO Year 2000

Establish and update a Web site to share information. Develop best practices document highlighting Year 2000 information. Work with industry groups to communicate government-wide Year 2000 needs. Consider leveraging Year 2000 resources across agencies, if the need arises. Identify (i.e. use Y2K logo) Year 2000 compliant products on GSA Schedule Take a unified government approach in dealing with vendors that are not releasing Year 2000 versions in a timely manner.

FEDERAL INFORMATION AND RECORDS MANAGERS COUNCIL

APPLICATION FOR BEST PRACTICES

1. NAME AND ADDRESS OF AGENCY

2. RECORDS OFFICER AND CONTACT INFORMATION (phone. fax, e-mail)

3. TITLE OF MODEL PROJECT AND INCLUSIVE DATES (beginning/ending/ongoing)

4. PROJECT OBJECTIVE(S): (50 words or less)

5. RESOURCES EXPENDED (staff time - FTE and contractor; money spent; training needed; travel; etc...)

6. PROJECT METHODOLOGY: (100 words or less)

7. PROJECT RESULTS: (50 words or less)

8. BENEFITS APPLICABLE TO ALL FEDERAL AGENCIES: (50 words or less)

9. ENDORSEMENT OF AGENCY RECORDS MANAGER, CIO AND AGENCY HEAD

10. ENDORSEMENT BY FIRM MEMBERS FROM FIVE OTHER AGENCIES.

CRITERIA FOR (FIRM BOARDS) EVALUATION OF BEST PRACTICES

DID THE PRJECT: 1. Save Time

2. Save Money

3. Save Space

4. Improve Accessibility to Official Records

5. Improve Efficiency of Workflow / Business Processes

6. Improve Accountability

7. Improve Security

8. Improve Preservation Strategy for Archival (or Long Term Storage) of Records

9. Improve Disposition Procedures

10. Improve Public Image / Perception / Training

APPLICATIONS WILL BE EVALUATED FOUR TIMES A YEAR: Deadlines for Submissions are: April 1, July 1, October 1 and January 1. Questions can be addressed to any FIRM Board Member.

Mail Completed Applications to: FIRM - Best Practices c/o John Paul Deley Federal Trade Commission, H-172 6th street and Pennsylvania Avenue, NW Washington, DC 20580

SUMMIT DISCUSSION STARTERS

Much of Federal Records Management is just good common sense. Many of the functions performed routinely by Federal Records Management staff are mandated by Federal law, recommended by agencies with oversight of some aspect of federal record keeping or suggested by professional associations or leading industry consultants. However, in a vibrant information environment that is characterized by rapid change, there is often a gap between the time cost effective and responsible strategies and solutions are developed and those same functions are codified in statute or agreed upon by formal institutions. The following discussion starters are examples of issues which might (or might not) guide FIRM members in establishing criteria for managing records at all phases of the life cycle during the interim between common sense and the fruits of the consensus building process. These discussion starters are to be taken as ideas on the table. They may be modified and refined in the future and may frequently be amended to reflect alterations in the political reality of community perceptions. They are not intended to be authoritarian pronouncements. Rather, they are intended to provoke discussion, fill the statutory vacuum and lead to uniform and consistent record keeping practices throughout the federal government.

1. The decision to convert scheduled record information from one format to another should never be taken without first conducting a formal cost / benefit analysis.

2. Federal information that has been scheduled for permanent retention and that is stored on electronic media should ONLY be retrievable with non-proprietary software.

3. All Federal records stored in paper format should be physically obtainable by its primary customer within twenty-four hours of a request being made.

4. You cannot appraise an electronic system of records without understanding that systems context - how it fits in (is integrated) with other systems in the business processes of a federal agency. Many systems of federal record in FY99 are in multiple formats / media.

5. The success of knowledge management software depends upon an appreciation for the nuances associated with the concept of corporate ownership of data. Public documents should be accessible using shared federal metadata standards.

6. Federal Webmasters should focus their attention not on building faster cars, but on building better highways. Search engines are only effective in finding what a user wants IF the accuracy and integrity of the information they index is controlled and safeguarded.

7. Before any electronic records management system is designed or installed, a thorough assessment should be made of the existing paper system. If an evaluation of the manual system shows that performance in the creation, maintenance, use and disposition of the record could be improved, this should be done prior to the writing of a single functional requirement for an automated system. If the paper system has problems (lack of access points, inability to determine what should or should not be retained, etc...) then the automation of that system will only result in the duplication (and often multiplication) of those problems. All electronic record systems should be scheduled for disposition BEFORE they are put into production. The value of electronic records is not necessarily that same as that of their paper counterparts.

8. As a society we have spent trillions of dollars trying to get electronic images and text to look and function in the same way as their paper forebearers. That probably isnt what we really want. These two media are very different and both have record advantages and disadvantages. Effective records managers rejoice in their distinguishability. The moment we mistake one for the other will be tragic because we will have lost the best of both. Paper records are portable, stable and tangible. Electronic records are manipulable, compressable and pretty. Paper records are organic, humanly compatible, and historically viable for preservation. Electronic records are ephemeral, machine compatible and historically suspect. Human record keeping is not as much about truth as vanity. We want to keep most what makes us look good.

9. All retired paper files retired to inactive storage must be indexed at least at the box level.

10. Federal Records Management is most successful when it packages itself as a SERVICE not as a commodity. Federal Records Management is more about the process of assisting federal agencys fulfill their mission than it is about counting the number of boxes, bit and bytes.

11. In technology areas where no federal statutory standards exist the FIRM recommends the following:  all image files be stored in BIFF format  all electronic document management systems follow ODMA standards  all archival finding aids be MARC-AMC compatible

12. If a single record series is maintained in multiple formats throughout an organization, then a central finding aid in one format MUST be maintained by the Records Manager and designated as the Copy of Record.

13. Preservation = Transportation. The value of maintaining information in any record keeping format or system is directly related to the ease and cost of migrating that information to constantly up datable technology over time without significant data degradation.

14. The primary media used to create information should be the medium which can most cost effectively maintain the information throughout its life cycle. (ie. if created electronically - then its best preservation is electronic)

15. All federal agency e-mail systems should be able to segregate mail (sent from and received into) 3 categories: 1) agency record, 2) transmittal of agency non-record information, and 3) non-agency, non-federal personal paper; and be able to link the agency record to its appropriately scheduled series.

16. Federal agency information infrastructure should ALWAYS be developed with interagency exchange as a primary functional component.

17. There should be a direct one on one correlation between each (statutorily assigned - legislatively mandated) unique substantive function of an agency and the record series which documents that activity in order to meet the requirements for proper and adequate documentation.

18. Since effective agency disaster recovery programs do not exist in a vacuum. A central federal agency (NARA, FEMA, GSA, etc...) should provide context and coordination for all federal disaster recovery activities.

19. Until every American citizen has universal, free access to the tools necessary to interact in an electronic environment with their government, a democratic government will never be able to mandate electronic record keeping or electronic commerce. As we enter the next millennium more and more record series will be multi-media and more and more records will be appraised as ephemeral because the cost of their permanent preservation will be too high.

20. The paperless office is a utopian myth. Paper will not completely disappear from the federal workplace for at least the next fifty years.

Federal Information and Records Management

SUMMIT II

Thursday, June 15, 2000

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FIRM SEPTEMBER CONFERENCE

THE CHANGING ROLE OF THE FEDERAL RECORD IN THE NEXT MILLENIUM: ARE WE LIVING IN A NEW DARK AGE

CRITERIA FOR EVALUATING OBJECTIVES:

1. What did the FIRM accomplish during the past year?

2. Were partnerships formed between agencies and associations that proved to be productive?

3. Are members of the Information and Records Management Community better informed and organized?

HELPFUL WEB SITES FOR THE FEDERAL RECORDS MANAGER

The Federal Information and Record Managers Council Bulletin Board - Discussion Forum http://greenspun.com/bboard/q-and-a.tcl?topic=Federal%20Information%20and%20Records%20Managers%20Council

Multi-Agency Contracts: http://www.itpolicy.gsa.gov/mke/gwac/contrtoc.htm "Government-Wide Agency Contracts (GWAC) are contracts for various information technology resources owned by one Federal agency but which other specified Federal agencies can use."

Government Best Buys Buyers' Guide: http://www.fcw.com/pubs/gbb/guides.htm Buyers' Guides for Y2K, BPA's, GSA Schedule, GWAC's, DOD, and PC's.

GSA IT Acquisition Center: http://pub.fss.gsa.gov/servbtm.html Page with links to Financial Services, Information Technology Services, Organizational Management Services, Travel & Transportation Services, Services Acquisition Center, and Vehicle Acquisition and Leasing Services available through GSA.

Outsourcing Information Technology: http://www.itpolicy.gsa.gov/mkm/gsaepp/finalout.htm "This White Paper outlines the general processes involved in outsourcing. It also studies the problems involved in implementing outsourcing as well as securing the positive results of outsourcing efforts. Most importantly, it will give the Federal IT manager an understanding of the important issues to be addressed when making the outsourcing decision, as well as the factors to be considered in successfully implementing an outsourcing strategy.

Useful Web Sites for Archivists and Records Managers: http://www.nagara.org/clearinghouse/summer_97/slavin.htm "This list of useful web sites for archivists and records managers was compiled from numerous submissions provided NAGARA members."

The Office of Intergovernmental Solutions: http://policyworks.gov/org/main/mg/intergov "This web site is the gateway for governments to find out new directions around the world, what works and what doesn't work, and a first place to stop when contemplating major new investments in information technology.

Office of Government-wide Policy: http://www.policyworks.gov Links to a variety of government programs and policy organizations.

Sample Statements of Work for Federal Computer Security Services for use in-house or contracting out: http://csrc.nist.gov/nistir/ir4749.txt "The document presents the ideas and experiences of those involved with computer security. It supports the operational field with a set of Statements of Works (SOWs) describing significant computer security activities. While not a substitute for good computer security management, organization staff and government contractors can use these SOWs as a basis for a common understanding of each described activity."

American Film Institute's Preservation Site: http://www.afionline.org.

Association of Records Managers and Administrators (ARMA), International: www.arma.org.

Australian Classification System (Thesaurus) for City Government: http:www.records.nse.gov.au/rk/aaa/KeywordAAA.htm.

Australian Records Management RFP: http//www.ogit.gov.au/rational.html#RecordsManagement

Canadian's Electronic Archiving Project: http://www.slais.ubc.ca/users/duranti/.

Code of Federal Regulations (CFR): http://law.house.gov/cfr.htm

Commission on Preservation and Access: http://www.clir.org/pubs/reports/reports.html.

Commission on Preservation and Access: http://www-cpa.stanford.edu/cpa/index.html

Computer Professionals for Social Responsibility (CPSR) http://www.cpsr.org/dox/home.html

Data Warehousing Sites: http://www.mnhs.org/preserve/records/dwintro.html and http://www.mnhs.org/preserve/records/dwres.html.

DISA Joint Interoperability Test Command, Records Management Application (RMA) Certification Testing: http://jitc-emh.army.mil/recmgt/home3page.htm.

Department of Defense Records Management: http://www.dtic.dla.mil:80/c3i/recmgmt.html and http://www.rbarry.com/barrt2.html

Department of Defense -Records Management Task Force http://www.dtic.dla.mil/c3i/recmgmt.html

Department of Health and Human Services, Food and Drug Administration's Final Rule on Electronic Records and Electronic Signatures: http://frwebgate1.access.gpo.gov/egi-bin/...docID=820323233+9+0+)&WAISaction

DoD 5015.2-STD, Design Criteria Standard for Electronic Records Management Software Applications: http://jitc-emh.army.mil/record/home3.htm.

Disaster Preparedness and Response: http://palimpsest.stanford.edu/bytopic/disasters/index.html

Disaster Recovery Information: listdpra@makelist.com.

Electronic Frontier Foundation: http://www.eff.org/

EU Digital Records Guidelines: http://www2.echo.lu/dlm/en/home.html.

Executive Order 13011: http://www.itpolicy.gsa.gov/reg/exo13011/exo13011.htm.

Federal Computer Week http://www.fcw.com/ref/hottopics/records.htm

General Services Administration (GSA): http://www.gsa.gov/ http://www.itpolicy.gsa.gov/

Government Information Locator Service (GILS): http://www.nara.gov/gils/gils.html Z39.50:gils@wais.nara.gov/

Government Information Xchange: http://www.info.gov/txt_index.html

Government Performance and Results Act: gopher://pula.financenet.gov:70/00/docs/legis/gpra93.gop

Government Printing Office: http://www.access.gpo.gov/index.html

Information Technology Management Reform Act of 1996 (Summary): http://www.npr.gov/library/misc/itref.html.

Institute for Certified Records Managers (ICRM) http://www.mindspring.com/~dschewe/icrm/icrm.html NARA: http://www.nara.gov/records/index.html

National Security Archive Home Page: http://www.seas.gwu.edu/nsarchive/nsa

NIRMA Recommendations for Voluntary Utility EIE with NRC: http://www.fml.com/FML_Frame/nirma0.3.html#100.

OMB Circular A-130: http://www.whitehouse.gov/WH/EOP/OMB/html.a130.html.

OMB Memo regarding implementing the Information Dissemination Provisions of the PRA: http://www.whitehouse.gov/WH/EOP/OMB/html/disem.html.

PTO Corporate Plan: www.uspto.gov.

PTO Strategic Information Technology Plan: www.uspto.gov/web/offices/cio/cio-docs.htm.

Records Management List Serve: RECMGMT@LISTSERV.SYR.EDU.

Records Management Requirements for Electronic Recordkeeping (draft from NARA); gopher://gopher.nara.gov:70/00/managers/federal/publicat/funcreqs.txt.

Records Management-United Kingdom: http://britac3.britac.ac.uk/rms/index.html

Records Management Websites: http://www.flash.net/~survivor/websites.htm

U.S. Congress - Legislation: http://thomas.loc.gov/

World Wide Web Consortium - W3C Digital Signature Initiative Activity Statement http://www.w3c.org/Security/Dsig/Activity.htm.

Y2K Compliance Laws: www.businesslaws.com.

-- Anonymous, June 10, 1999