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  • (All definitions are from NIST Definition of Cloud Computing, Version 15, 10-07-2009)
  • (All definitions are from NIST Definition of Cloud Computing, Version 15, 10-07-2009)

Arma november2010 Presentation Transcript

  • 1. ARMA Metro Maryland Chapter
    November 18, 2010
    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
    Differences between service models affect how and by whom (agency/contractor) records management activities can be performed
    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
    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. 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
    27
  • 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. 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
    31
  • 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