1. A R M A M E T R O M A R Y L A N D C H A P T E R
N O V E M B E R 1 8 , 2 0 1 0
Records Management,
Transparency and Open Gov:
An Update from NARA

2. Overview
 Open Government and NARA
 NARA Bulletin on Cloud Computing
 NARA Bulletin on Web 2.0/Social Media
 NARA’s Use of Social Media
 Disclaimer: The opinions expressed in this
presentation are mine and do not represent any
official position of the National Archives and
Records Administration

3. NARA and Open Government
http://archives.gov/open/

4. “Backbone of Open Government”
 Federal agencies need to create and manage
economically and effectively the records necessary to
meet their business needs.
 They need to maintain records long enough, and in a
useable format, to protect citizen rights and assure
government accountability.
 And they need to ensure that records of archival
value are preserved and made available for
generations to come.

5. Records Control Repository
 http://archives.gov/records-mgmt/rcs/
 Provides access to scanned versions of records
schedules that have been developed by Federal
agencies and approved by the Archivist
 From 1973 – present
 New schedules added as approved

6. NARA Bulletin 2010-05
 Guidance on Managing Records in Cloud Computing
Environments
 Released: September 8, 2010
 http://go.usa.gov/x1u
 http://archives.gov/records-
mgmt/bulletins/2010/2010-05.html

7. Cloud Computing: Definition
 NIST defines cloud computing as “a model for
enabling convenient, on-demand network access to
a shared pool of configurable computing resources
(e.g., networks, servers, storage, applications, and
services) that can be rapidly provisioned and
released with minimal management effort or
service provider interaction.” (NIST Definition of
Cloud Computing, Version 15, 10-07-2009)

8. NIST’s Essential Characteristics
 On-demand self-service
 Increase storage, etc. automatically
 Broad network access
 Capabilities are available over the network
 Resource pooling
 The provider’s computing resources are pooled to serve multiple
consumers
 There is a sense of location independence; customer generally has no
control or knowledge over the exact location of resources
 Rapid elasticity
 Quickly scale out or scale in computing power
 Measured Service
 automatically control and optimize resource through a metering
capability

9. Cloud Computing – Service Models
 Cloud Software as a Service (SaaS)
 Provider’s applications running on a cloud infrastructure
 Consumer does not manage or control the underlying cloud infrastructure
 Web mail systems in the cloud
 Cloud Platform as a Service (PaaS)
 Consumer-created or acquired applications created using programming
languages and tools supported by the provider
 Consumer does not manage or control the underlying cloud infrastructure
 Cloud Infrastructure as a Service (IaaS)
 Consumer receives computing resources that the consumer is able to
deploy and run arbitrary software, which can include operating systems
and applications
 Consumer does not manage or control the underlying cloud infrastructure
but has control over operating systems, storage, deployed applications,
and possibly limited control of select networking components (e.g., host
firewalls)

10. Cloud Computing – Deployment Models
 Private cloud
 Cloud is operated solely for an organization by the organization or
a third party
 Community cloud
 Cloud is shared by several organizations and supports a specific
community that have mutual concerns
 Public cloud
 Cloud is made available to the general public or a large industry
group and is owned by an organization selling cloud services
 Hybrid cloud
 Cloud is a composition of two or more clouds (private, community,
or public) that remain unique entities but are bound together by
standardized or proprietary technology that enables data and
application portability

11. Cloud Computing Use By Agencies
Team interviewed four agencies using clouds
 All received business benefits to solve various problems
 Some created private cloud others used commercial
offerings
 All had some issues with records management
 One keeps everything, but is working to figure it out
 Two are still working on agreements that place
responsibility on participating agencies, but not the
providing agency

12. So Is There A Problem?
Potentially
 If the benefits of the drivers outweigh perceptions of
records management responsibilities
 If cloud solutions are procured without
consideration of records management requirements
 If particular cloud deployments present
insurmountable obstacles to exercising records
management

13. Some RM Challenges
 Cloud applications may lack the capability to
implement records disposition schedules
 Maintaining records in a way that maintains
their functionality and integrity throughout the
records’ full lifecycle
 Maintaining links between the records and their
metadata
 Transfer of archival records to NARA according
to NARA-approved retention schedules

14. Some RM Challenges
 Depending on the application, vendors may not be
able to ensure the complete deletion of records
 Various cloud architectures lack formal technical
standards governing how data are stored and
manipulated in cloud environments

15. Some RM Challenges
 A lack of portability standards may result in
difficulty removing records for recordkeeping
requirements or complicate the transition to
another environment
 Agencies and cloud service providers need to
resolve issues if a cloud service ceases or changes
dramatically

16. Meeting RM Challenges
Provisos
1. Differences between service models affect how and by
whom (agency/contractor) records management
activities can be performed
2. Service or Deployment Models used could affect where
records are stored or created
 PaaS and IaaS might contain no Federal records depending
on how they are used
3. In SaaS model, records may often be held in contracted
space

17. Meeting RM Challenges
 Include RM staff in cloud computing solution
 Define which copy of records will be declared as
the agency’s record copy (value of records in the
cloud may be greater than the value of the other set
because of indexing or other reasons)
 Include instructions for determining if records in a
cloud environment are covered under an existing
records retention schedule

18. Meeting RM Challenges
 Include instructions on how all records will be
captured, managed, retained, made available to
authorized users, and retention periods applied
 Include instructions on conducting a records
analysis, including records scheduling
 Include instructions to periodically test transfers of
records to other environments, including agency
servers, to ensure the records remain portable

19. Meeting RM Challenges
 Include instructions on how data will be migrated,
so records are readable throughout their entire life
cycles
 Resolve portability and accessibility issues through
good records management policies and other data
governance practices

20. Contracting
 Agency is always responsible for its Federal records
even if they are in contracted space
 Agencies must ensure contractors are aware of the
agencies’ RM responsibilities
 Agencies must work with contractors to manage
records
 If a contractor quits the business, agencies must
get the records back

21. Contracting
 We created model language that informs all parties
of RM responsibilities
 Working to add similar language to GSA’s apps.gov store
 Agencies can modify as needed, other clauses can be
included in contracts
 Agencies may be partners in a private or community
 Include RM in MOUs or other agreements

22. NARA Bulletin 2011-02
 Guidance on Managing Records in Web 2.0/Social
Media Platforms
 Released: October 20, 2010
 http://go.usa.gov/aUJ
 http://archives.gov/records-
mgmt/bulletins/2011/2011-02.html

23. What is the purpose of the Bulletin?
 Guidance on managing records produced when using web
2.0/social media platforms
 Expands on NARA's existing web guidance
 Implications of Recent Web Technologies for NARA
Web Guidance
 NARA Guidance on Managing Web Records
 Not intended to provide agencies with model schedules or
step-by-step guidance

24. What is Web 2.0 and Social Media?
 Integrates web technology, social interaction, and content
creation
 Individuals or collaborations of individuals, create,
organize, edit, comment on, combine, and share content
 Agencies are using social media and web 2.0 platforms to
connect people to government and to share information

25. Social Media Categories
 Web Publishing
 Social Networking
 File Sharing/Storage

26. How are Federal records defined?
 Provides definition of Federal Records based on Federal
Records Act (44 U.S.C. 3301)
 Refers to 36 C.F.R. 1222.10 for guidance on how agencies
should apply the statutory definition of Federal records

27. 27
Are Federal records created when agencies use web
2.0/social media platforms?
 Agencies must determine records status
(FRA and regulations)
 Principles for analyzing, scheduling, and managing
records are independent of the medium

28. Are Federal records created when agencies use web
2.0/social media platforms?
 If any answers are YES, then content is likely a record:
 Is the information unique and not available anywhere
else?
 Does it contain evidence of an agency’s policies,
business, mission, etc.?
 Is this tool being used in relation to the agency’s work?
 Is use of the tool authorized by the agency?
 Is there a business need for the information?

29. Noteworthy RM challenges associated with the
use of web 2.0/social media
 Public expectations that all content is both permanently valuable and
accessible
 Content located in multiple places
 Recordkeeping in a collaborative environment
 Ownership and control of data that resides with a third party
 Interactive content management
 Identification of record series
 Implementation of schedules, including transfer and full deletion
 Capture of frequently updated records
 Handling of records containing PII (See OMB M 10-23)

30. RM Challenges in Social Media
 Determine their specific RM strategies to meet the
regulations
 Records officers, web management staff, and IT staff,
need to collaborate
 Consider the following areas:
 Policy
 Records Scheduling
 Preservation

31. 31
Policy
 Areas to consider include:
 Identifying what constitutes a record, including user
generated content
 Defining ownership of content and responsibility
 Developing recordkeeping requirements
 Incorporating recordkeeping practices and
requirements into terms of service (TOS)
 Communicating records policies
 Monitoring the ongoing use and value
 Monitoring changes to third-party TOS

32. Records Scheduling
 Agencies must schedule social media records or apply
existing disposition authorities as appropriate
 Consider whether the use and functionality of the
platform affects value of the record, before applying an
existing schedule
 Develop new schedules if the tool provides enhanced
processes, functionality, added metadata, or other
features
 Existing authorities apply if there is a previously
approved media neutral schedule or records are
administrative housekeeping
 See Appendix A for records scheduling flow chart

33. Preservation
 Areas to consider include:
 Saving all content with associated metadata as the complete record
 Using web crawling and software to store content or take
snapshots of record content
 Using web capture tools to create local versions of sites and
migrate content to other formats
 Using platform specific application programming interfaces (API)
to pull record content as identified in the schedule
 Using RSS Feeds, aggregators, or manual methods to capture
content
 Leveraging supporting underlying specifications, services, data
formats, and capabilities to provide generic functions useful for
fixing, capturing, and managing record content

34. Agency Responsibilites Towards Contractors
 Managing records – in house or third party
 Service providers could stop providing their service or
delete information from an agency's account
 Ability to identify and retrieve Federal records on web
2.0/social media platforms
 Where possible, include a RM clause when negotiating a
Terms of Service agreement
 Consider RM responsibilities when selecting and using
platforms

35. Sample “Terms of Service” Clause
 The Agency acknowledges that use of contractor’s site and services
may require management of Federal records. Agency and user-
generated content may meet the definition of Federal records as
determined by the agency. If the contractor holds Federal records,
the agency and the contractor must manage Federal records in
accordance with all applicable records management laws and
regulations, including but not limited to the Federal Records Act (44
U.S.C. chs. 21, 29, 31, 33), and regulations of the National Archives
and Records Administration (NARA) at 36 CFR Chapter XII
Subchapter B). Managing the records includes, but is not limited to,
secure storage, retrievability, and proper disposition of all federal
records including transfer of permanently valuable records to
NARA in a format and manner acceptable to NARA at the time of
transfer. The agency is responsible for ensuring that the contractor
is compliant with applicable records management laws and
regulations through the life and termination of the contract.

36. What other NARA resources are available?
 Web Study
 Toolkit for Managing Electronic Records
 Bulletin on Multi-Agency Environments
 Web Transfer Guidance
 NRMP Wiki/Ledger

37. This Bulletin + Cloud Computing?
 Web 2.0/social media platforms may operate using cloud
computing environments
 Both bulletins should be consulted when developing
records management strategies for these environments

38. NARA Use of Social Media

39. http://blogs.archives.gov/aotus/

40. http://blogs.archives.gov/online-public-access/

41. http://blogs.archives.gov/records-express/

42. http://twitter.com/NARA_RecMgmt

43. Transitions?
 Look for a new Archives.gov homepage to launch very soon
 A Charter for Change: Archivist’s Task force on agency
transformation, final report: released October 2010
 One NARA: work as one NARA and not just as component parts.
 Out in Front: Embrace the primacy of electronic information in all
facets of our work and position NARA to lead accordingly.
 An Agency of Leaders: Foster a culture of leadership, not just as a
position but as the way we all conduct our work.
 A Great Place to Work: Transform NARA into a great place to work
that trusts and empowers all of our people, the agency’s most vital
resource.
 A Customer-Focused Organization: Create structures and
processes to allow our staff to more effectively meet the needs of our
customers.
 An Open NARA: Open our organizational boundaries to learn from
others.

44. Thank You!
 Contact Information
 Arian D. Ravanbakhsh
 Electronic Records Policy Analyst
 email: arian.ravanbakhsh@nara.gov
 Follow on Twitter: @adravan