[Federal Register: November 14, 2005 (Volume 70, Number 218)]
[Notices]
[Page 69165-69168]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr14no05-69]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
Draft NARA Guidance for Implementing Section 207(e) of the E-
Government Act of 2002; Request for Comment
AGENCY: National Archives and Records Administration (NARA).
ACTION: Notice of availability of document; request for comment.
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SUMMARY: NARA is seeking public comment on the draft NARA Guidance for
Implementing Section 207(e) of the E-Government Act of 2002. This
bulletin will provide Federal agencies with the National Archives and
Records Administration's (NARA) approach to improve the management of
electronic records, including web records, as directed by Section
207(e) of the E-Government Act of 2002, [Pub. L. 107-347].
DATES: Comments must be received by December 29, 2005
by fax to 301-837-0319 or by mail to NPOL, National Archives and
Records Administration, Room 4100, 8601 Adelphi Rd, College Park, MD
20740-6001
FOR FURTHER INFORMATION CONTACT: Nancy Allard at 301-837-1477 or via e-
mail at nancy.allard@nara.gov.
SUPPLEMENTARY INFORMATION: The E-Government Act of 2002 directs the
Archivist of the United States to issue policies for effective
management of electronic records, including Government information on
the Internet (web records) by December 17, 2005. NARA has considered
the December 2004 Report of the Interagency Committee on Government
Information (ICGI) in developing these policies. The ICGI Report is
available at http://www.cio.gov/documents/ICGI/ICGI-207e-report.pdf.
For a paper copy of the Report, contact the person listed in FOR
FURTHER INFORMATION CONTACT.
Dated: November 4, 2005.
Nancy Allard,
Federal Register Liaison.
DRAFT NARA Bulletin 2006-XX
TO: Heads of Federal Agencies
SUBJECT: NARA Guidance for Implementing Section 207(e) of the E-
Government Act of 2002
EXPIRATION DATE: October 1, 2009
1. What is the purpose of this bulletin?
This bulletin provides Federal agencies with the National Archives
and Records Administration's (NARA) approach to improve the management
of electronic records, including web records, as directed by Section
207(e) of the E-Government Act of 2002, [Pub. L. 107-347].
2. What is the background for this bulletin?
Section 207(e) directs the Archivist of the United States to issue
policies:
(A) requiring the adoption by agencies of policies and procedures
to ensure that chapters 21, 25, 27, 29, and 31 of title 44, United
States Code, are applied effectively and comprehensively to Government
information on the Internet and to other electronic records; and
[[Page 69166]]
(B) imposing timetables for the implementation of the policies,
procedures, and technologies by agencies.
3. What policies is NARA issuing?
a. NARA issues regulations governing the management of all records,
including electronic records in 36 CFR Ch. XII, Subchapter B. NARA also
issues policy guidance that supplements these regulations.
b. This bulletin outlines the major pieces of existing NARA policy
guidance related to electronic records management and the areas in
which future policy will be made. The bulletin also establishes
timelines by which Federal agencies and NARA must take action regarding
electronic records management.
4. What must agencies do to implement this bulletin?
a. Agencies must continue to manage their records, including
electronic records, consistent with 36 CFR Ch. XII, Subchapter B,
Records Management. In addition, and as required by these regulations,
agencies must continue to identify, schedule, and transfer to NARA
records, particularly electronic records, that have or will likely have
a permanent retention. By September 30, 2009, agencies must have NARA-
approved records schedules covering all existing (as of December 17,
2005) electronic records systems.
b. To support this activity, NARA establishes the following
timelines:
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Responsible party (federal
Date required agencies or NARA) Required actions
----------------------------------------------------------------------------------------------------------------
Ongoing.................................. Federal Agencies................... Federal agencies are already
required to:
Implement processes and
procedures to manage electronic
records in existing agency
systems;
Transfer to NARA
permanent electronic records
from existing or legacy systems
according to approved records
schedules;
Identify, schedule, and
transfer to NARA permanent or
potentially permanent
electronic records from
existing or legacy systems.
By September 30, 2009, agencies
must have NARA-approved records
schedules covering all existing
(as of December 17, 2005)
electronic records systems.
Ongoing.................................. Federal Agencies................... Federal agencies must build
records management capabilities
into all newly developed
systems that generate Federal
records, specifically including
functionalities to identify and
transfer to NARA records of
permanent or potentially
permanent value.
By FY 2008 (October 1, 2007)............. NARA............................... NARA will:
Articulate
specifications for agencies to
use to ensure the solutions
professional and IT service
providers sell to Federal
agencies meet statutory and
regulatory Federal records
management requirements; and
Promulgate additional
guidance and best practices for
Federal agencies to identify,
schedule, and transfer to NARA
permanent or potentially
permanent electronic records
from existing or legacy
systems.
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Major areas of existing NARA guidance and plans for future guidance
are described in the attachment to this bulletin.
5. How does the Electronic Records Archives (ERA) program relate to
this bulletin?
a. On September 8, 2005, NARA awarded a six-year contract to
Lockheed Martin Corporation to build the ERA system for NARA. The
Initial Operating Capability for the system is scheduled to be
available in late FY 2007 and Full Operating Capability is planned to
be available in FY 2011. All records management tools, policies, and
requirements developed by NARA support or will support the
comprehensive and effective management of electronic records and their
management within the ERA system, as well as the statutory and business
needs of Federal agencies.
b. As Federal agencies develop procedures and processes to manage
their records, especially permanent or potentially permanent electronic
records, the procedures and processes should meet their agency business
needs and be consistent with ERA. NARA will provide agencies with
information regarding ERA as development proceeds.
6. Whom do I contact for additional information?
a. NARA's Life Cycle Management Division provides assistance and
advice to agency records officers in the Washington, DC, area. Your
agency's records officer may contact the NARA appraiser or records
analyst with whom your agency normally works for support in carrying
out this bulletin. A list of the appraisal and scheduling work groups
is posted on the NARA Web site at http://www.archives.gov/records-mgmt/appraisal/index.html
.
b. The Records Management staff in NARA's regional offices provides
assistance to agency records officers across the country. A complete
list of NARA regional facilities may be found at http://www.archives.gov/facilities/index.html
.
c. If you need more general information about the contents of this
bulletin, please contact [to be added when bulletin is issued].
Allen Weinstein,
Archivist of the United States.
[Attachment] Policy for Effective and Comprehensive Management of
Electronic Records Introduction
The Federal Records Act directs the Archivist of the United States
to provide guidance and assistance to Federal agencies to ensure
adequate and proper documentation of the policies and transactions of
the Federal Government.
The E-Gov Act of 2002 further directs the Archivist to issue
policies to ensure that the Federal Records Act is applied effectively
and comprehensively to Government information on the Internet and to
other electronic records.
[[Page 69167]]
Existing Policy
To fulfill its statutory responsibilities, NARA regularly
promulgates records management policy to ensure adequate and proper
documentation of the policies and transactions of the Federal
Government. Current records management policy is available at http://www.archives.gov/records-mgmt/
.
The following are links to significant records management policy
for electronic records, including web records.
Web Records:
NARA Guidance for Managing Web Records (January 2005)--http://www.archives.gov/records-mgmt/policy/managing-web-records-index.html
.
Other Electronic Records
Enterprise-Wide ERM.
[ctrcir] Methodology for Determining Agency-unique Requirements
(August 23, 2004)--http://www.archives.gov/records-mgmt/policy/requirements-guidance.html
.
[ctrcir] Coordinating the Evaluation of Capital Planning and
Investment Control (CPIC) Proposals for ERM Applications (June 23,
2003)--http://www.archives.gov/records-mgmt/policy/cpic-guidance.html.
Electronic Information Management Standards.
[ctrcir] NARA Bulletin 2003-03, Endorsement of DoD Electronic
Records Management Application (RMA) Design Criteria Standard, version
2 (January 15, 2003)--http://www.archives.gov/records-mgmt/bulletins/2003/2003-03.html
.
Transfer permanent electronic records to NARA.
[ctrcir] Transfer Instructions for Permanent Electronic Records:
Web Content Records (September 17, 2004)--http://www.archives.gov/records-mgmt/initiatives/web-content-records.html
.
[ctrcir] Transfer Instructions for Permanent Electronic Records:
Digital Geospatial Data Records (April 9, 2004)--http://www.archives.gov/records-mgmt/initiatives/digital-geospatial-data-records.html
.
[ctrcir] Transfer Instructions for Permanent Electronic Records:
Digital Photographic Records (November 12, 2003)--http://www.archives.gov/records-mgmt/initiatives/digital-photo-records.html
.
[ctrcir] Transfer Instructions for Permanent Electronic Records in
Portable Document Format (PDF) (March 31, 2003)--http://www.archives.gov/records-mgmt/initiatives/pdf-records.html
.
[ctrcir] Transfer Instructions for Existing Scanned Images of
Textual Records (December 23, 2002)--http://www.archives.gov/records-mgmt/initiatives/scanned-textual.html
.
[ctrcir] Transfer Instructions for Existing E-mail Messages with
Attachments (September 30, 2002)--http://www.archives.gov/records-mgmt/initiatives/e-mail-attachments.html
.
NARA Guidance on Electronic Signatures.
[ctrcir] Records Management Guidance for Agencies Implementing
Electronic Signature Technologies--http://www.archives.gov/records-mgmt/policy/electronic-signature-technology.html
.
[ctrcir] Records Management Guidance For PKI-Unique Administrative
Records--http://www.archives.gov/records-mgmt/policy/pki-guidance.html.
[ctrcir] Records Management Guidance for PKI Digital Signature
Authenticated and Secured Transaction Records--http://www.archives.gov/records-mgmt/policy/pki.html
.
Future Tools, Policy, and Requirements
Electronic Records Management (ERM) Toolkit. The ERM Toolkit will
be developed as an organized portal where a collection of proven ERM
guidance tools such as case studies, best practice documents, process
models, policies and directives, tips and techniques, training
programs, lessons learned, presentations, and other practical tools
that can be used by Federal agencies to promote and implement effective
management of Government information on the Internet and other
electronic records.
An initial proof-of-concept will be deployed in March 2006, with
subsequent tools and capabilities added thereafter. NARA-developed
guidance outlined below will be available in the ERM Toolkit.
Records Management Profile and Records Management Service
Components. With a wide variety of stakeholders, NARA will develop
policy and conceptual products to support Federal agencies in building
records management requirements into IT systems creating electronic
records. These include:
Records Management Profile. The Records Management Profile
is a framework that overlays, or cross-cuts, the inter-related Federal
Enterprise Architecture (FEA) reference models: The Business Reference
Model, the Service Component Reference Model, the Technical Reference
Model, the Data Reference Model, and the Performance Reference Model.
The Records Management Profile provides an overview of the FEA and
explains how the reference models provide a context for applying
effective records management practices.
Developed in concert with the Office of Management Budget (OMB) and
other stakeholders, and currently under review at OMB, this tool will
be available in FY 2006.
Records Management Service Components (RMSC). In FY 2005,
NARA led an effort with records management, counsel, IT, and program
management leaders from eighteen Federal agencies that identified
functional requirements for records management within a components-
based architecture. An RMSC is a piece of software that provides
services that support the creation, management, transfer, and
destruction of electronic records within a components-based or service-
oriented computing environment.
In FY 2006, NARA will invite back representatives from the eighteen
participating agencies to review industry responses to a Request for
Information (RFI) about the seven components currently identified to
support records management in a components-based architecture and to
finalize the requirements. The results of this activity will become
part of a strategy to facilitate acquisition of RMSCs that can be used
to provide interoperable Records Management functionality in any agency
system that creates, receives, and manages electronic records in
accordance with the FEA and with applicable laws and regulations.
Increasing Awareness of Records Management Considerations in the
Professional Services and IT Services Community
NARA will broaden and increase records management considerations in
professional services and IT system procurements by:
Providing professional services providers (GSA Schedule
Mission Oriented Business Integration Services (MOBIS) providers)
criteria and standards to ensure statutory and regulatory Federal
records management requirements are accounted for in the business
solutions they provide to Federal agencies that affect or result in the
creation of Federal electronic records. This work will be completed by
October 1, 2008.
Providing IT service providers (GSA Schedule 70 providers)
criteria and standards to ensure statutory and regulatory Federal
records management requirements are accounted for in IT systems
creating electronic records in the transaction Federal Government
business. This work will be completed by October 1, 2008.
[[Page 69168]]
Identification, Preservation, and Continued Access to Permanently
Valuable Electronic Records
To ensure the identification, preservation, and continued access to
Government information on the Internet and to other electronic records,
NARA will develop policy for managing \1\ permanent or potentially
permanent electronic records generated in Federal agencies.
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\1\ By managing, we include identifying, scheduling, and
transferring to the National Archives.
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In addition to developing the tools outlined above and continuing
general work on NARA regulations and guidance, NARA will develop:
Concise, public-use versions of criteria in NARA 1441,
Appraisal Policy of the National Archives and Records Administration.
Concise articulations of NARA's permanent records
priorities based on our governmentwide resource allocation results,
identifying the Federal Enterprise Architecture, Business Reference
Model, Services to Citizens areas (Lines of Business) that NARA is most
concerned with.
Self-analysis checklists for Federal agencies to use to
identify and report on:
(a) The major government information systems resources that they
are responsible for that generate permanent or potentially permanent
electronic records; and
(b) The general, high-level technical requirements Federal agencies
must meet to manage their permanent or potentially permanent electronic
records.
The agency self-analysis would include the NARA 1441 and the
resource allocation criteria, as well as technical evaluation based on
the Records Management Profile.
These tools will allow agencies to help Federal agencies and NARA
identify and manage the electronic records that need to be preserved
for access and use by future generations.
Timeline for Action
----------------------------------------------------------------------------------------------------------------
Responsible party (Federal
Date required agencies or NARA) Required actions
----------------------------------------------------------------------------------------------------------------
Ongoing.................................. Federal Agencies................... Federal agencies are already
required to:
Implement processes and
procedures to manage electronic
records in existing agency
systems;
Transfer to NARA
permanent electronic records
from existing or legacy systems
according to approved records
schedules;
Identify, schedule, and
transfer to NARA permanent or
potentially permanent
electronic records from
existing or legacy systems.
By September 30, 2009, agencies
must have NARA-approved records
schedules covering all existing
(as of December 17, 2005)
electronic records systems.
Ongoing.................................. Federal Agencies................... Federal agencies must build
records management capabilities
into all newly developed
systems that generate Federal
records, specifically including
functionalities to identify and
transfer to NARA records of
permanent or potentially
permanent value.
By FY 2008 (October 1, 2007)............. NARA............................... NARA will:
Articulate
specifications for agencies to
use to ensure the solutions
professional and IT service
providers sell to Federal
agencies meet statutory and
regulatory Federal records
management requirements; and
Promulgate additional
guidance and best practices for
Federal agencies to identify,
schedule, and transfer to NARA
permanent or potentially
permanent electronic records
from existing or legacy
systems.
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[FR Doc. 05-22527 Filed 11-10-05; 8:45 am]
BILLING CODE 7515-01-P