On November 28, 2011, President Obama signed the
Presidential Memorandum - Managing
This memorandum marked the beginning of an Executive Branch-wide
effort to reform records management policies and practices and to develop a 21st-century
framework for the management of Government records. The expected benefits of this effort
Federal agencies shall work toward two central goals.
To promote openness and accountability and reduce costs in the long term, the Federal Government should commit immediately to the transition to a digital government. Agencies must meet the following targets:
By December 31,2019, all permanent electronic records in Federal agencies will be managed electronically to the fullest extent possible for eventual transfer and accessioning by NARA in an electronic format. By December 31,2013, each agency will develop and begin to implement plans to achieve this transition. Agencies should also consider the benefits of digitizing permanent records created in hard-copy format or other analog formats (e.g., microfiche, microfilm, analog video, analog audio).
By December 31 , 2016, Federal agencies must manage all email records in an electronic format. Email records must be retained in an appropriate electronic system that supports records management and litigation requirements (which may include preservation-inplace models), including the capability to identify, retrieve, and retain the records for as long as they are needed. Beginning one year after issuance of this Directive, each agency must report annually to OMB and N ARA the status of its progress toward this goal.
The Federal Government should commit to manage more effectively all records consistent with Federal statutes and regulations and professional standards. Agencies must meet the following requirements:
The Presidential Memorandum previously required all agencies to designate a Senior
Agency Official (SAO) to oversee a review of their records management program. This
Directive also requires agencies to designate an SAO, but with broader agency-wide
responsibilities with respect to records management. By November 15, 2012, each
agency will name it's SAO, and by November 15th of each subsequent year, all agencies
will reaffirm or name any new SAO. The SAO is responsible for coordinating with the Agency Records Officer and appropriate agency officials to ensure the agency's
compliance with records management statutes and regulations.
The SAO is a senior official at the Assistant Secretary level or its equivalent who has direct responsibility for ensuring that the department or agency efficiently and appropriately complies with all applicable records management statutes, regulations, and NARA policy, and the requirements of this Directive. The SAO must be located within the organization so as to make adjustments to agency practices, personnel, and funding as may be necessary to ensure compliance and suppOli the business needs of the department or agency.
By December 31 , 2013 , the SAO shall ensure permanent records that have been in existence for more than 30 years are identified for transfer and reported to NARA.
By December 31 , 2014, the designated Agency Records Officer for each agency must hold the NARA celiificate of Federal Records Management Training. New incumbents must possess the certificate within one year of assuming the position of Agency Records Officer. Agency Records Officers are generally responsible for overseeing the day to day agency recordkeeping requirements outlined in 36 CFR 1222.22, Subpart B.
By December 31 , 2014, all Federal agencies must establish a method to inform all employees of their records management responsibilities in law and policy, and develop suitable records management training for appropriate staff.
By December 31 , 2016, the SAO shall work with the Agency Records Officer to ensure records schedules have been submitted to NARA for all existing paper and other nonelectronic records. To facilitate this goal, the Agency Records Officer will work with NARA to identify all unscheduled records, by December 31 , 2013. This should include all records stored at NARA and at agencies' records storage facilities that have not yet been properly scheduled.
NARA and other agencies (OMB and OPM) will take the following actions to assist
agencies in meeting the two central goals of this Directive.
By December 31 , 2013, NARA will complete, and make available, revised guidance, including metadata requirements, for transferring permanent electronic records, to include additional sustainable formats commonly used to meet agency business needs. NARA will update this guidance regularly as required to stay current with technology changes.
By December 31 , 2013 , NARA will issue new guidance that describes methods for managing, disposing, and transferring email.
A3.I NARA, the Federal Chief Information Officers Council and the Fcderal Records
Council will work with private industry and other stakeholders to produce economically
viable automated records management solutions. By December 31 , 2013, NARA will
produce a comprehensive plan in collaboration with its stakeholders to describe suitable
approaches for the automated management of email, social media, and other types of
digital record content, including advanced search techniques. The plan will detail
expected outcomes and outline potential associated risks.
A3.2 By December 31 , 2014, the Federal ChiefInformation Officers Council, and the Federal Records Council, working with NARA, will obtain external involvement for the development of open source records management solutions.
A4.I By December 31 , 2013 , NARA will incorporate into existing reporting
requirements an annual agency update on new cloud initiatives, including a description of
how each new initiative meets Federal Records Act obligations and the goals outlined in
this Directive. For the initial report the agency will identify any existing use of cloud
services or storage, and the date of implementation.
A4.2 By the next revision of OMB Circular A-130, OMB will update A-130 to explicitly require that agencies must incorporate records management requirements when moving to cloud-based services or storage solutions.
By December 31 ,2013, NARA will determine the feasibility of establishing a secure cloud-based service to store and manage unclassified electronic records on behalf of agencies. This basic, shared service will adhere to NARA records management regulations and provide standards and tools to preserve records and make them accessible within their originating agency until NARA performs disposition.
By December 31, 2012, the Archivist of the United States will convene the first of periodic meetings of all SAOs to discuss progress in implementation of this Directive; agency Federal records management responsibilities; and partnerships for improving records management in the Federal Government. Additionally, NARA will complete a review of all of its records management reporting requirements by December 31, 2012, and produce a report template for a single annual repOli that each SAO will send to the Chief Records Officer for the U.S. Government commencing on October 1, 2013.
By December 31 , 2013, NARA, in cooperation with the Federal ChiefInformation Officers Council, the Federal Records Council, and other Government-wide councils that express interest, will establish a Community of Interest (COl) to bring together leaders from the information technology, legal counsel, and records management communities to solve specific records management challenges. The COl will develop and propose guidance, share information, create training, and identify tools that support electronic records management.
By December 31 ,2013 , OPM will establish a formal records management occupational series to elevate records management roles, responsibilities, and skill sets for agency records officers and other records professionals.
By December 31 , 2013 , NARA will identify a government-wide analytical tool to evaluate the effectiveness of records management programs. While continuing to conduct assessments, inspections, and studies of agency records management programs, NARA expects that a tool or similar analytical approach will help NARA and the agencies to measure program compliance more effectively, assess risks, and aid in agency decision-making. The use of a new analytical tool in these ongoing activities will identify issues that undermine effective agency records management programs as well as highlight the best practices that will inform agency-specific or government-wide opportunities for improvement.
By December 31 , 2015, NARA will improve the CUlTent Request for Records Disposition Authority process. Consistent with CUlTent Federal records management statutes, or with changes to existing statutes (if required), N ARA will also develop criteria that agencies can apply to the scheduling, appraisal, and overall management of temporary records that can be effectively monitored with appropriate NARA oversight.
By December 31 , 2017, to reduce the need for unique records schedules submitted for approval to the Archivist, NARA, in consultation with appropriate oversight agencies, will make substantive changes to the General Records Schedules (GRS). These significant changes will include, combining the records series into more appropriate aggregations for easier disposition action by agencies, and expanding the number of permanent records series in the GRS to reduce the scheduling and appraisal burden on agencles.
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
August 24, 2012 - M-12-18