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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

ELECTRONIC RECORDS ARCHIVES (ERA)

CHUCK PIERCYMEG PHILLIPSPAUL WESTER

ACERA Meeting, April 6, 2011

Topics2

ERA Development Progress FY 2011 Accomplishments to Date Future Milestones

Problems and corrective actions What ERA will be at end of FY 2011

What’s in What’s out

Federal Agency Rollout and Ingesting Electronic Records

ERA’s funding status

04/18/23

ERA Development Progress:FY 2011 Accomplishments to Date

Base Increment 3 received Authorization to Operate on 2/25/11 Base Increment 5 (page 5 of Addendum)

Release 5.0.1 Bulk Import Tool part 1 - Design complete, in coding

Release 5.1.1, 5.2.1 (Streamline forms and processes for scheduling, accessioning and ingesting electronic records into ERA; Bulk Import Part 2) – High Level Design completed

Release 5.3.1, 5.4.1 Preservation – Abstract completed , in High Level Design

EOP - Release 2.1.12 (Additional datatypes (Merlin, Presidential Diary System) and export manifest) deployed 1/23/11

EOP (page 5-6 of Addendum)

Release 2.1.13 (Additional searching for Records Management System, email, MAVRICS) plus software upgrade – Coding completed, in testing

Release 2.1.14 Freedom of Information Act (FOIA) Support – Abstract completed, in High Level Design

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04/18/23

OPA General Availability received Authorization to Operate on 12/15/10

OPA (Page 6 of the Addendum)

Release 5.1.1 (Social Networking, Image Zoom) Coding completed

Release 5.2.1 (tagging, user registration, search engine tuning) Coding initiated

Release 5.3.1 (Download, narrow searches) Abstract initiated Classified Instance (Page 6 of the Addendum)

SCIF modifications Design Completed

Abstract completed Census (Page 6 of the Addendum)

High level design completed

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ERA Development Progress:FY 2011 Accomplishments to Date

04/18/23

ERA Development Progress:Future Milestones

Completed Instance Release #

Addendum Page

Functions

4/18/11 Base 5.0.1 6 Bulk Import Part 1 (Load data from NARA’s legacy systems directly into ERA without human intervention)

4/21/11 OPA 5.1.1 8 Image zoom, social networking widget, enhancements

5/10/11 EOP 2.1.13 7 Software upgrade and re-indexing, fix inventory archive tool errors, load and sort new data sets

6/6/11 OPA 5.2.1 8 NARA-approved tagging, user registration, search engine tuning, enhancements

7/1/11 CERA N/A 8 Establish a TS/SCI Classified instance

7/7/11 OPA 5.3.1 8 Download e-records/data files, help screens, narrow and refine search, save canned search

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04/18/23

ERA Development Progress:Major Milestones

Completed Instance Release # Addendum Page

Functions

7/13/11 Base 5.1.1 6 Streamline forms and processes for scheduling, accessioning and ingesting electronic records into ERA.

8/1/11 Census 9 Secure storage of 2010 Census questionnaires, which are all electronic and closed for 72 years.

9/1/11 EOP 2.2.14 7 Enable Archivists tp review EOP records in ERA for public access through FOIA redaction tool

9/7/11 OPA 5.4.1 8 Save individual search results, search Presidential Library, print full and partial results, persistent URL

9/14/11 Base 5.2.1 7 Bulk Import Tool Part 2 (Mass Ingest function removed)

9/15/11 Base 5.3.1 7 Transform electronic records in obsolete format (EBCDIC) to modern standard, making it easier for researchers to use. Preservation Functions, Part 1

9/30/11 Base 5.4.1 7 Transform additional types of EBCDIC records and develop design for automating some of the transformation process

ERA at the End of Development

What’s in ERA (end of FY11): Online Public Access to records

and info about records Public use copies of presidential

records (and redaction) Federal agency forms and

workflow - improvements Unclassified storage (Federal,

Presidential, Congressional) Classified storage Census (restricted) storage First format migration tool

What’s out: Additional e-records

processing, data file validation tools

Capability for users to send search results via email to an external address

Internal workflow for records management process

Architectural enhancements Integrated online account

management for agencies Additional preservation

migration tools

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Problems and Corrective Actions

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GAO Recommendations NARA Actions Report to Congress on the specific outcomes

to be achieved in fiscal year 2011 with the balance of any previous multi-year funds

Updated FY 2011 Expenditure Plan explains that multiyear funds will be used to fund O&M contract

Ensure that the ERA requirements planned for fiscal year 2011 are fully prioritized so that those that are most critical to NARA’s customers and other stakeholders are addressed

Prioritization with stakeholders completed in Sept 2010 Highest priority requirements incorporated into Statement of Work for

Option Year 5 (i.e., FY 2011 development) Requirements Document and Database were updated to reflect

priorities All associated documentation was provided to GAO

Ensure that significant changes to ERA’s program’s cost, schedule and scope are approved through NARA’s investment review process

Archivist, Senior Staff, Lifecycle Guidance Team and Information Technology Executive Committee (ITEC) are briefed as appropriate on ERA performance, cost, schedule, and scope information

Executive level deliberations now being recorded and action items tracked

Changes in cost, schedule and scope follow the Capital Planning and Investment Control (CPIC) Process with ITEC approval

Conduct post-implementation reviews of deployed ERA capabilities to validate estimated benefits and costs

ERA Quality Management scheduling the review for after deployment of the increment 3 base

Submit ERA Expenditure Plans to OMB for review and approval prior to submitting to Congress

Submitted draft FY 2011 Expenditure Plan to Congress 10/1/2010 Submitted draft FY 2011 Expenditure Plan to OMB 12/23/2010 Approved plan delivered to GAO 1/14/2011

Update the ERA Requirements Management Plan and related guidance to ensure requirements prioritization throughout the project’s life cycle

ERA Requirements Management Process (not actual requirements), incorporating existing Requirements Management Standard Operating Procedure, updated Jan 2011

Problems and Corrective Actions

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Before Restructuring Current

Inadequate communications with stakeholders, CIOs, researchers and Records Managers

Communications responsibility assigned to a single NARA individual

Planning completed for assigning agency start dates, updating training, and guiding agencies through startup

Further assistance to be provided through assigned agency contacts

Inadequate Executive-level oversight

NARA reached out to agencies through CIO Council / Federal Records Council Meeting for better coordination with agencies.

Senior Management meetings are documented and Earned Value information presented

Changes in cost, schedule and scope follow the Capital Planning and Investment Control (CPIC) Process with Information Technology Executive Committee (ITEC) approval

Lack of requirements traceability processes

Process to update Requirements Document has been implemented

Automated tool implemented for requirements traceability analyses

Requirements Document was updated with stakeholder input on priorities

Unreliable Earned Value Management (EVM) data; Inefficient span of control for Project Manager

Upgraded the Project Management Tool (PROMT) used for EV reporting

EVM corrective action plan is under development (GAO recommendation) and will be completed within 30 days after receipt of the GAO Report

Established dedicated Project Manager for the ERA Program

Nonresponsive software methodology Adopted spiral software methodology, with more frequent,

product-focused smaller releases

Continued problems with contractor performance in cost plus award fee contract

Will issue new firm fixed price Operations & Maintenance contract by Sept 2011

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Rollout to Federal Agencies

Benefits to Agencies•Perform records management transactions with NARA.•Transfer permanently valuable electronic records to NARA.

Rollout Plan and Activities•Pilots Agencies•CIO Act Agencies•Other Federal Agencies•Mandatory Use

Implementation Activities•Agency identification, initial meeting, action plans•Follow-up and training•Evaluation

Communications Activities•Email and web•Federal Records Council (FRC) and BRIDG•Joint CIO Council and FRC meetings

Current Action Plan11

Focus on increasing volume of electronic records under management by ERA

Aggressively engage Federal agencies in transferring permanent electronic records into ERA

Focus development on core requirements that ensure records can be transferred into ERA and made available on-line to the American people

End development by September 30, 2011Includes: 488TB of 2010 CensusSee slide 15 more information

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Roll Out to Federal Agencies: Phase 1 Plan

March 2011

√ Department of Health and Human Services

√ Department of State

√ Department of Justice

April 2011

Environmental Protection Agency

Small Business Administration

Department of Transportation

May 2011

Department of the Army

Department of Commerce

Nuclear Regulatory Commission

June 2011

Department of the Treasury

Department of Interior

Housing and Urban Development

July 2011

Executive Office of the President

Department of Energy

Department of Labor

August 2011

Department of Veterans Affairs

US Agency for International Development

National Science Foundation

September 2011

Department of Defense

Office of Personnel Management

October 2011

Department of Homeland Security

General Services Administration

November 2011

Office of the Director of National Intelligence

Department of the Air Force

Department of Agriculture

Anytime starting March 2011 because involved in pilot roll out in 2010

Department of the Navy

National Aeronautics and Space Administration

Department of Education

Social Security Administration

Small agencies added aggressively starting in July 2011

Ingesting E-Records: Plan and Progress To Date

• At least 10 TB per quarter through FY2011• Met 1st Quarter Goal: 10.1 TB• Met 2nd Quarter Goal: 10.9 TB

• Federal EOP: 5.0 TB• NASA Video: 3.0 TB• Congressional – House Videos 2.0• Legacy migration and small amounts

from National Science Foundation, Justice Department and National Geospatial Agency

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RG Agency Vol FY11/2Q Vol FY11/3Q Vol FY11/4Q13 National Mediation Board 021 US District/Bankruptcy Courts 1,000,00022 Fish & Wildlife 2525 National Labor Relations Board 29 Census 450,000,00048 Dpartment of the Interior 549 Bureau of Land Management 3053 Bureau of Public Debt 600 57 US Geological Survey 57 Landsat imagery 12,500,000 12,500,00060 Justice 10,000 10,000 65 FBI 500,00079 National Park Service 2582 Federal Reserve Board/FOMC 35,000 95 US Forest Service 30

115 Bureau of Reclamation 10174 Department of Labor 10241 Patent and Trademark Office 10255 NASA 3,000,000 80,000255 Apollo Videos 3,000,000 257 Bureau of Labor Statistics 30266 Securities and Exchange Commission 100271 Office of Workers' Compensation 5288 National Endowment for the Arts 5288 The National Endowment for the Humanities 10307 National Sceince Foundation 20317 ESA 10330 Department of Defense, various units 10,000,000

330 Centcom Commander records, e.g., Abizaid, Franks, and Petraeus 300,000 330 US Forces-Iraq (total 48 tb) 6,800,000 6,800,000330 Official Military Personnel Files (OMPF) 20,000,000330 ISAF - Afghanistan (US Forces) 359 Executive Office of President-OSTP 350,000 364 Executive Office of President-USTR 1,100,000 369 Employment and Training Administration 5370 National Oceanic and Atmospheric Administration 100412 Environmental Protection Agency 250 250 250422 National Technical Information Service - Historical Publications 2,500,000 424 Consumer Product Safety Commission 20429 Executive Office of the President 1,000,000 429 FRA Bush Records 2,000,000 2,000,000 2,000,000433 Mine Safety and Health Administration 10478 Office of Personnel Management 2,000

Congressional records - Financial Crisis Investigation Committee 8,000,000 8,000,000 Congressional web harvest 3,000,000 Web harvest

Totals (in Megabytes) 15,497,850 38,110,250 502,880,710 Totals (in Terabytes) or 15.5.TB or 38.1 TB or 502.9 TB

Anticipated volumes of electronic records for remainder of FY 2011 (in Megabytes)

ERA’s Funding Status15

Total appropriated to the ERA program FY 2002 thru FY 2011 (FY 2011 estimate is $72 million): $463.06 million

The breakdown of the appropriations is as follows:

Program Management $149.99 million

Development $268.38 million

Operations & Maintenance $44.69 million

Total Appropriations $463.06 million

To complete the development phase of the project in FY 2011, NARA needs approval of the Expenditure Plan and release of remaining FY 2011 funds