[Federal Register Volume 70, Number 218 (Monday, November 14, 2005)]
[Notices]
[Pages 69165-69168]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-22527]


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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

ADDRESSES: Please send your comments by e-mail to comments @nara.gov or 
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 [email protected].

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:

 
----------------------------------------------------------------------------------------------------------------
                                               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.
----------------------------------------------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \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