1. NARA's Agency Services Bimonthly Records and Information Discussion Group (BRIDG) Wednesday, December 18, 2013 1

2. Todays Meeting Agenda Records Schedule Backlog Update and Status Report Margaret Hawkins, Director of Records Management Services Records Management Policy Update Lisa Haralampus, Supervisor, Records Management Policy Team Records Management Training Update Laurence Brewer, Director, National Records Management Program 2

3. Records Schedule Backlog Update and Status Report Margaret Hawkins Director of Records Management Services BRIDG December 18, 2013 3

4. Backlog Project -Description What is a Backlog Schedule? qA schedule more than two fiscal years old FY 2010 and older for last fiscal year FY 2011 and older for this fiscal year 4

5. Why in Backlog? Large Volume of Schedules Appraisal Staff Turnover No Net Increase in Appraisal Staff Individual Schedules –Legal Issues –Ownership of records disputes –Difficulty agreeing to and obtaining schedule revisions 5

6. Backlog Project -Description What was done in FY13 to address backlog? FY11 pre-backlog schedules added –Get ahead of the problem 60-day Focus on FY10 or older Backlog Schedules –May through June –Continued work on these schedules through end of Fiscal Year 6

7. Backlog Project -Results XXX backlog and pre-backlog jobs at start of FY 2013 Results = xx remaining –76% reduction in backlog schedules on hand 7

8. Backlog Project –Future (FY 14) 8

9. Backlog Project –Lessons Learned Return of Substandard Schedules –Schedules not meeting basic standards per QC list may be returned without action –Reasons will be provided –Suggestions for improvement –Meetings, trainings, workshops with individual agencies to improve schedule submission 9

10. Backlog Project –Lessons Learned Inactive Schedules Returned Without Action –Appraisal visits, Revisions, Questions Goal = turnaround within 40 days Schedules may be returned due to lack of responsiveness Make sure ready for appraisal visits 10

11. Backlog Project –Lessons Learned Process Improvement –As part of Presidential Records Management Directive –Multi-year project to look at streamlining process –Improve Internal Review Process – roll out this winter 11

12. Current Backlog Current Backlog = 56 Schedules –Down over XX% from last years level –Jump Start: many handled last fiscal year 12

13. Addressing Current Backlog qPlan Goal: Closeout ALL 56 Backlog Schedules q10% closed already Start working on FY 12 backlog this year 13

14. Questions? Call Appraisal Archivist or Team Supervisor http://www.archives.gov/records-mgmt/appraisal/ 14

15. Records Management Policy Update Lisa Haralampus, Supervisor, Records Management Policy Team 15

16. The Records Management Policy Team We are an experienced group of information professionals with backgrounds in business analysis, project management, and policy-making as well as expertise in archives management and records management. 1.Lisa Haralampus – Archives II – Supervisor 2.Casey Coleman – Archives II 3.Beth Cron – Ann Arbor, Michigan 4.Jill Hudson – Archives II 5.Preston Huff – Fort Worth, TX 6.Denise Pullen – Archives II 7.Arian Ravanbakhsh – Archives II 16

17. The Records Management Policy Team Vision: We are leaders in designing effective, forward- looking information and records management policy, with an emphasis on electronic records, that is accepted and implemented throughout the Federal Government. Mission: We develop, in a creative and collaborative environment, policy and guidance on records creation, management, and disposition that drives continuous improvement in the management of Federal records and information. 17

18. The RM Policy Team Portfolio Directive Regulations Guidance Bulletins Communication 18

19. Directive Managing Government Records Directive (M-12-18) states Records are the foundation of open government and electronic recordkeeping and compliance are the goals. We monitor and report on the progress towards the Directive targets and objectives. We maintain information about the Directive on NARAs website at http://www.archives.gov/records- mgmt/prmd.html and on Records Express blog http://blogs.archives.gov/records-express/http://www.archives.gov/records- mgmt/prmd.html http://blogs.archives.gov/records-express/ We also participate in various projects and initiatives specifically defined in the Directive. 19

20. Regulations We are responsible for reviewing and coordinating revisions for records management regulations. This year, we are focusing on a review of Title 36 of the Code of Federal Regulations, Chapter 12, Subchapter B, Parts 1220 through 1239. This is a long involved process with many stakeholders. Project plans state that FY14 will be the beginning of the public comment phase through the Federal Register. Stay tuned! 20

21. Guidance We are responsible for reviewing and coordinating revisions to records management guidance. NARA issues guidance to help clarify and explain the regulations in the form of NARA Bulletins. Bulletins furnish information to Federal agencies on records management issues or serve as reminders of regulatory requirements. Other guidance products include numbered memos from the Office of the Chief Records Officer, Frequently Asked Questions (FAQs), best practices, and white papers. This year, we are reviewing NARA guidance products to ensure information is timely, accurate and consistent with Directive. 21

22. Bulletins We manage several activities surrounding Bulletin drafting and issuance. Since August BRIDG, NARA has issued: NARA 2014-03: Guidance on Agency Records Officer Training Requirements, December 2, 2013 Opportunity for Comment on Draft Transfer Guidance Bulletin, November 1, 2013 NARA 2014-02: Guidance on Managing Social Media Records, October 25, 2013 NARA 2013-03: Guidance for Agency Employees on the Management of Federal Records, Including Email Accounts, and the Protection of Federal Records from Unauthorized Removal, September 09, 2013 NARA 2013-02: Guidance on a New Approach to Managing Email Records, August 29, 2013 22

23. Communication We play a number of important roles in communication activities surrounding RM policy. –Operate the Records Express BlogRecords Express Blog –Respond to Public Affairs office requests –Provide briefings and presentations to agencies, organizations, and conferences on RM policy –Participate in the content development or delivery of RM training surrounding the Directive, Regulations, Guidance and Bulletins We can be reached via email at PRMD@nara.govPRMD@nara.gov 23

24. Further Information 1.NARA 2013-02: Guidance on a New Approach to Managing Email Records, August 29, 2013 Capstone training was recorded and will be made available online. More information is available at: http://www.archives.gov/records-mgmt/email-mgmt.html http://www.archives.gov/records-mgmt/email-mgmt.html 2.NARA 2014-02: Guidance on Managing Social Media Records, October 25, 2013 Social Media training was recorded and made available online at: http://blogs.archives.gov/records-express/2013/12/11/social-media- bulletin-briefing/ http://blogs.archives.gov/records-express/2013/12/11/social-media- bulletin-briefing/ 24

25. Conclusion Thank You Questions? 25

26. Records Management Training for Federal Agencies Laurence Brewer, CRM Director, National Records Management Program BRIDG December 18, 2013

27. RM Training News Recap of FY 2013 Looking ahead to FY 2014 Training requirement for Records Officers 27

28. FY 2013 Achievements Trained over 2,900 attendees nationwide Awarded 315 Certificates of Federal Records Management Training Delivered over 40 virtual training classes, including Basic Records Operations and Vital Business Information. Piloted Knowledge Area 6 as a hybrid synchronous/asynchronous course offering 28

29. FY 2013 Achievements Free online briefing series on NARAs You Tube channel Updated and revised existing Knowledge Area curriculum for all courses Completed development of new Managing the Life Cycle of National Security Information course Recorded Legal Counsel course, featuring Jason Baron, NARAs former Director of Litigation Recorded Capstone training session and other information soon to be available via RM Communication 29

30. National Security Information Course Improve the management of classified records in the intelligence, law enforcement and defense communities by integrating records management, information security and declassification concepts Intended audience is anyone who handles classified records in agencies within the civilian Executive Branch, the Intelligence Community and the Department of Defense One-day course, $150 Scheduled Feb 18 (A1) and Sept 16 (A2) 30

31. Legal Counsel Course The Case for Records Management: Issues for Federal Agency Counsel, now recorded and available at no cost in NARAs LMS Course presented in two parts: –Part I (80 minutes): Key points, best practices, counsels role, and legal issues. –Part II (75 minutes): E-Recordkeeping, E-Discovery, email, legal holds, and implementing the OMB/NARA Directive Slides used in the training presentation are also available for downloading/viewing. 31

32. Looking Ahead to FY 2014 Continue conversion of existing Knowledge Area series to online delivery Updating the instructor-led Basic Records Operations (BRO) course and offering it in DC metro area Developing focused video FAQs on using ERA Developing records management briefing for senior agency officials Developing asynchronous vital records course 32

33. Training Requirements for Records Officers OMB/NARA M-12-18, Requirement 2.3 Agency Records Officers Must Obtain NARA Certificate of Federal Records Management Training –By December 31, 2014, the designated Agency Records Officer for each agency must hold the NARA Certificate of Federal Records Management Training. New incumbents must possess the certificate within one year of assuming the position of Agency Records Officer. Agency Records Officers are generally responsible for overseeing the day to day agency recordkeeping requirements outlined in 36 CFR 1222.22, Subpart B. 33

34. Training Requirements for Records Officers NARA Bulletin 2014-03 Guidance on Agency Records Officer Training Requirements, December 2, 2013. http://www.archives.gov/records-mgmt/bulletins/2014/2014-03.html 34

35. Applicability Who does it cover? –Anyone listed as agency records officer at http://www.archives.gov/records-mgmt/agency/ before December 31, 2014 http://www.archives.gov/records-mgmt/agency/ Who does it NOT cover? –Agency records officers who already have the Certificate –Agency records officers appointed after December 31, 2014 –Agency records liaison officers –Records management personnel who are not the designated agency records officer 35

36. Certificate Current Practice Take the KAs, pass the tests, get the Certificate Why do this? –Training covers broad spectrum of RM process in Federal context –Provides chance to see what challenges other agencies face –Gives opportunity to interact with NARA instructors and other agency personnel of all RM levels –Shows what information NARA thinks is valuable 36

37. Exemptions If you meet one of the following criteria before December 31, 2014, you do not need to attend classes or take exams: –Combination of ICRM or CA certification AND 3 years experience as the designated agency records officer; or –7 years experience as the designated agency records officer 37

38. Exemptions Senior Agency Official (SAO) must submit written request for exemption to Chief Records Officer no later than December 1, 2014 Requests must indicate: –Relevant exemption –Description of the records officers certification and/or experience sufficient for NARA to evaluate the request NARA will respond within 30 days NARA will not provide Certificate of Federal Records Management Training to those approved for exemption 38

39. Exceptions If you do not qualify for an exemption and will not qualify before December 31, 2014: –Obtain access to NARAs LMS –Review materials and take KA 2-6 exams without attending classes –Score 75% or higher on each individual KA examination –Receive 75% to pass. Two attempts permitted, then required to attend class and re-take exam NARA will provide electronic versions of course materials No letter or approval required to get an exception 39

40. FAQs If I am approved for an exemption, can I also get an exception and take the exams? –Yes. If you want to have the Certificate of Federal Records Management Training, you may obtain it through the exception process. What if I have been a records officer for ten years, but in multiple agencies? –You qualify for an exemption, but only if you served all of those years as a records officer. 40

41. FAQs How long is my exemption/exception/Certificate good for? –The Certificate does not expire. We are planning a re- certification course for current Certificate holders. Why arent other records management personnel afforded the exemption/exception opportunity? –Directive focuses on records officers responsible for overseeing records management programs –We know what ROs do, but duties of other RM personnel vary broadly from agency to agency 41

42. FAQs How much does it cost to obtain the Certificate? –At current rates ($150 per person/day), it would cost $1,350 to sit through KAs 2 – 6 before taking the exams. Under the provisions of the exception process; however, there are no fees to review the materials or take the exams. 42

43. Questions? Laurence Brewer, CRM Director, National Records Management Program Laurence.brewer@nara.gov (301) 837-1539 Please send all general inquiries about records management training to: RecordsMgtTraining@nara.gov 43

44. FY14 BRIDG Meeting Dates Wednesday, February 12, 2014 Meet and Greet for Appraisal Team 4 Group Wednesday, April 16, 2014 Meet and Greet for Appraisal Team 1 Group Wednesday, June 18, 2014 Meet and Greet for Appraisal Team 3 Group Wednesday, August 13, 2014 Meet and Greet for Appraisal Teams 2 and Team 4 44