Building the Electronic Records Archives by OF6eor4

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									      ERA Program:

          Building the
Archives of the Future



     ARMA - Gaithersburg Chapter
            May 14, 2003
                                              Purpose




• To briefly report on the development of
  the Electronic Records Archives system
  at the National Archives.

• To provide a common basis for
  discussing your technical interests in the
  Electronic Records Archives (ERA)


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                      Administration
                   NARA’s Electronic Records Challenge




• Preserve any type of record,
• Created using any type of application,
• On any computing platform,
• From any entity in the Federal Government and any
  donor.
• Provide discovery and delivery to anyone with an
  interest and legal right of access,
• Now and for the life of the republic



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                         Administration
                             The Challenge:NARA’s Scope




            • Federal,
            • Presidential,
            • Congressional, and
            • Supreme Court records,
                          and
            • Donated private materials

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                          Administration
                                       The Challenge: Volume
                                               (a few examples)


Clinton Administration: 38 million email
messages
State Department: 25 million electronic
diplomatic messages
Department of Defense: > 50 million
images of digital Official Military
Personnel Files annually
Census Bureau: 600 to 800 million
image files (2000 census)
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                    Administration
                                     The Challenge: Complexity




•    Databases
•    Geographic Information Systems
•    Web sites
•    Digital Photographs
•    Computer Assisted Engineering Drawings
•    Virtual Reality Models
• ••••• ????



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                         Administration
                                            NARA’s Vision




The Electronic Records Archives will
authentically preserve and provide
access to any kind of electronic
record, free from dependency on any
specific hardware or software,
enabling NARA to carry out its
mission into the future.
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                    Administration
                                      Government and Private Sector




   National
   Science              Global Grid
   Foundation               Forum                                            San Diego Super
                                                                            Computer Center




                        National Computational
                        Science Alliance
        Army Research                   National Institute of Standards &
           Laboratory       NIST        Technology
                                                                        National Partnership for
                                                                       Advanced Computational
                                                                                  Infrastructure



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                                 Administration
                                    ERA Timeline 1998 - 2001 (Past)




            • The Archivist established the ERA
              Program

            • Research partners are formed to
              find solutions to the electronics
              archiving challenge

            • Contractor Team hired to assist
              with program management


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                    Administration
                                                                          ERA Timeline Present




                             •   Continue Research & Development
                             •   Key Integrated Product Teams (IPTs) Chartered
                             •   Key Program documents finalized
                             •   Continued staffing of the Project Management
                                 Office (PMO)
     4/02             7/02                8/02                 4QFY03      2QFY04        1QFY07


                                   Requirements L1             Request    Contract   Initial Operating
                                                                 for       Award        Capability
  Concept of      Analysis of       Business Case                                          (IOC)
                                                               Proposal
  Operations      Alternatives        Analysis
Requirements L0                  Request For Information
                                          (RFI)

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                                            Administration
                                               ERA Timeline Future




            • Official Military Personnel Files

            • Test online public access

            • Continue Research and Development

            • Census 2006 (Mountain Information)




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                       Administration
            Electronic Records Archives Program - 2003




                    Program Management Office

             • Program Management Staff

             • Officially Established as a PMO

             • ERA PMO Phone, E-mail & Website




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                     Administration
            Electronic Records Archives Program - 2003




                  ERA Conferences and Sessions

             • User Conference

             • Industry Day

             • Dialogue Sessions

             • Future ERA Conferences & Sessions


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                     Administration
            Electronic Records Archives Program - 2003




                               ERA Research

             • Partnerships

             • Research

             • Virtual Research Laboratory




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                     Administration
            Electronic Records Archives Program - 2003




                                  ERA Acquisitions

              • Request for Information (RFI) 1 & 2

              • Vendor Meetings

              • Request for Comment (RFC)
                   – Requirements Document (RD)

              • Prime Integrators Meetings

              • Acquisitions E-mail


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                     Administration
                       Who are the Users?

            Researchers                      NARA staff
            Historians                       Donors
            Genealogists                     Attorneys
            Citizens                         Sociologists
            Archivists                       Economists
            Librarians                       Geographers
            Chief Information Officers       Federal Program Officials
            Federal Records Officers         Businesses
            Information Resource Managers    ••••




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                     Administration
                                                          Who are the Users?




• Originator: produces documentary materials and
  transfers them to NARA
•   Appraiser: handles requests for transfer of documentary materials to
    NARA or their disposal
•   Accession Processor: accessions and processes transfers of
    documentary materials
•   Preserver: ensures long-term access
•   Access Reviewer: reviews materials for access restrictions
• Record User: accesses documentary materials
•   Administrator: enables others to use the system




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                                  Administration
                                         What will the system do?



• Support the collection, integration, and sharing of
  information about records.
• Support the workflow associated with business
  processes.
• Interface with other systems.
• Maintain a complete audit trail.
• Accommodate substantial growth in volume &
  variety.
• Protect the system and the records with state-of-
   the-art security.
   ••••
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                        Administration
             What will the system do for NARA’s customers?




• Process electronic records of all types, formats, and
  media.
• Manage unscheduled, permanent, and temporary
  electronic records.
• Maintain relationships among records.
• Store records reliably.
• Make electronic records independent of specific
  hardware and software.
• Manage records according to their sensitivity.


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                            Administration
             What will the system do for NARA’s customers?




• Provide access in NARA facilities and from other
  locations.
• Provide for registration of system users.
• Provide user interfaces appropriate to the skill level
  and research interests of users.
• Provide tutorials, training, help screens, and other
  state-of-the-art user assistance.
• Enable NARA staff to respond to user comments
  and requests.

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                            Administration
                  What will the system do for Originators?




• Implement record schedule functionality.
• Support appraisal of electronic records.
• Support disposition of electronic records.
• Support transfer of electronic records to NARA
• Provide for accessioning of electronic records.
• Provide for review and redaction of sensitive
  information by authorized personnel.


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                          Administration
                What will the system do for Record Users?




• Find records based on searches of descriptions of
  records
• Search the electronic records themselves.
• Accurately reproduce and output electronic records.
• Provide certified copies of electronic records.
• Manage requests for review of restricted materials.
• Implement the results of electronic records reviews.
• Enable users to request and receive assistance from
  NARA staff.
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                           Administration
        ERA Program:

           Building the
 Archives of the Future


Change Management and the Electronic Records
            Archives Program
                                              Change vs. Transition




• Change and Transition are not the same

        Change is a shift in the external situation

        Transition is the psychological
             reorientation in response to change


                                            William Bridges & Associates 2000

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                            Administration
Phases of Transition




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                     Administration
                                                Phases of Transition




• An Ending
  A loss
  Letting go of the old way and the old self
  Getting closure
  Saying good-bye




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                        Administration
                                              Phases of Transition




• A Neutral Zone
  In-between time
  Chaos
  The wilderness
• A Beginning
  Being “with it”
  The new chapter
  Renewal
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                      Administration
                           Resistance




• It’s the transition not the change that people
  often resist
   Loss of their identity and their world
   Disorientation of the neutral zone
   Risk of failing in a new beginning




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                         Administration
             Four Phases for Change Management for ERA




• Communications activities were the primary
  activity during the Needs Definition phase, to
  build awareness.
• “Change Management” occurs during the
  Concept Development state as well as Initial
  Production state. The goal is to generate
  stakeholder interest, trust and preparation for
  change.

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                              Administration
                                        Change Management




• The third stage, is user training, which begins
  during Concept Development and continues
  through Initial Production. The goal is to build
  stakeholder involvement in the program.
• Performance support, including a help desk
  and user group set up occurs as part of the
  Operations and Maintenance phase to focus
  on improving skills application.

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                         Administration
             ERA Change Management Goals and Objectives




• Ensure that NARA continues to do its work
  while the changes are in progress
• Build and maintain momentum to set the
  changes in motion
• Deal with the human elements of change
• Manage the transition to a sustainable new
  state


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                            Administration
                                        ERA Change Management




• THRU
  – Reducing stakeholder resistance
  – Maintaining control and perception of ERA during its
    development
  – Identifying and managing political imbalances and
    shifts.
  – Aligning changes with the organizational culture
  – Anticipating and planning for the impacts of change
  – Managing the reactions of impacted stakeholders

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                          Administration
                      Significance of Change Management




• The purpose of change management is to
  assure the acceptance of ERA by NARA staff
  and other stakeholders
• The plan will identify the actions required to
  prepare NARA staff, customers, oversight
  groups and the public for the cultural,
  organizational, process and technology
  changes that will occur when ERA becomes
  operational.
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                         Administration
                              Who are the Key Stakeholders?




• NARA Leadership Team
• Custodial unit that has responsibility for
  electronic records
• Office of Regional Records Services
• Life Cycle Management Division
• Custodial units
• Oversight bodies


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                          Administration
                                                Plan of action




• Four steps for the three phases in each stage
  of ERA development.
   – Diagnosis
   – Development
   – Implementation
   – Evaluation



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                        Administration
                                               Current Status




• Developing Concept Paper, Overall Schedule
  and Initial Briefing.
• Need to establish a Change Management
  Group that will oversee this process
• Close coordination with the other change
  initiatives currently underway:
   – Records Management Initiative (RMI)
   – Business Process Reengineering (BPR)

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                       Administration
        How does Change Management relate to other ERA programs?




• Closely tied to communications, since this is an
  important tool for moving through transition
• A major concern for Risk Management,
  because the NARA’s unwillingness to accept
  change is the Number 1 risk




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                             Administration
                                                  Indicators of Success




• Process
   – No redundancy
   – Quality checks of products/services
   – Customer Feedback Loops in place
   – Processes support cohesion among and within work
     units
   – No gaps



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                          Administration
                                                   Indicators of Success




• Information Sharing
   – Communication networks in place to allow for up
     and down communication
   – Information flows on time and comprehensively
   – Horizontal communication is effective for problem
     solving and decision making
   – Feedback loops in place for internal and external
     stakeholders



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                           Administration
                                                   Indicators of Success




• Culture
   – Innovation is encouraged
   – Respect for the strengths of NARA parties is evident
   – The transition is managed to address both
     organizational and human issues
   – Vision is clear and embraced by NARA and
     stakeholders




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                           Administration
                                                   Indicators of Success




• Structure
   – Authority and responsibility at level of most value
   – Work unit roles and responsibilities are clear
   – Adaptability is feasible
   – Goals for integrated records management are clear
     and drive elements of structure
   – Work units are organized in ways that meet
     customer needs and promote individual staff
     contributions

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                           Administration
                    ERA Program Management Office Information




                    ERA Main Phone Number:
                        (301) 837-0740
                        ERA PMO E-mail:
                      ERA.Program@nara.gov
                    ERA Acquisitions E-mail:
                    ERA.Acquisition@nara.gov

                          ERA Website:
            www.archives.gov/electronic_records_archives

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                                Administration

								
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