ML24045A050
| ML24045A050 | |
| Person / Time | |
|---|---|
| Issue date: | 02/14/2024 |
| From: | NRC/OCIO/DIME/DPRB |
| To: | US National Archives & Records Admin (NARA) |
| Gilbert H | |
| References | |
| Download: ML24045A050 (5) | |
Text
Senior Agency Official for Records Management 2023 Annual Report
The National Archives and Records Administration (NARA) requires Senior Agency Officials for Records Management (SAORM) to provide an annual report demonstrating how agencies are handling important records management initiatives as identified by NARA.
NARA uses the reports to determine the overall progress of the federal government in managing its records and the transition away from paper to digital formats, and to identify best practices and model solutions within federal agencies.
On June 28, 2019, the Office of Management and Budget (OMB) and NARA issued a memorandum, Transition to Electronic Records (M-19-21), to ensure that all federal records are created, retained, and managed in electronic formats. M-19-21 gave agencies until the end of December 2022 to comply with several specific deadlines.
On December 23, 2022, OMB and NARA issued a new memorandum, Update to Transition to Electronic Records ( M-23-07) reinforcing the goals in M-19-21 and extending the 2022 deadlines to June 30, 2024.
Additionally, on January 1, 2021, Congress enacted the Preservation of Electronic Messages and Other Records Act, amending 44 U.S.C. Chapter 29, that requires the electronic capture, management, and preservation of such electronic records in accordance wit h the records disposition requirements of 44 U.S.C. Chapter 33.
This years SAORM report provides an opportunity for agencies to report on plans and progress towards electronic recordkeeping and preservation under these requirements, as well as other important records management initiatives.
The reporting period begins on January 8, 2024, and reports are due back to NARA no later than March 8, 2024.
NARA plans to post your 2023 SAORM report on the NARA website upon receipt. Please ensure that your agencys report is a publicly releasable version. This action is in the interest of transparency in government and to promote collaboration and communication among agencies.
NARA intends to list any non-responding agencies in a summary report on our website.
Senior Agency Official for Records Management Report - 2023 Instructions for Reporting:
This template covers records management program developments, including those related to the transition to electronic recordkeeping as required by M-19-21 and M-23-07.
Please be brief and precise in your answers. Limit answers to each question to no more than 500 words.
Please complete the questions/items below and send the report to rmselfassessment@nara.gov. Include the words SAORM 2023 Annual Report -
[Agency Name] in the subject line of the email.
If you are responsible for records management in multiple agencies, components, or bureaus, please determine how you will submit reports to NARA. While NARA prefers a comprehensive report, you may submit separate reports for each component.
NARA may follow up with agencies to obtain additional information and/or documentation related to responses provided in the template.
As in previous years, we will be validating selected questions and responses from agencies. Your agency may be selected at random to provide additional documentation and/or take part in interviews to discuss your records management program activities.
Provide the following information (required):
Name of SAORM: _Jonathan R Feibus________________________
Position title: Director, CISO/CYBER and Information Security Division
- 1. What agencies, bureaus, components, or offices are covered by this report and your position as SAORM, and which will be reporting separately?
Please provide a list and indicate any that are new or have been changed due to reorganization or other circumstances.
This report covers the entire U.S. Nuclear Regulatory Commission (NRC).
- 2. Will your agency meet the goal to manage, preserve and transfer all permanent records in an electronic format with appropriate metadata by June 30, 2024? (M-19-21, 1.2 and M-23-07, 1.1 and 1.2)
X Yes No Not applicable, all records are in electronic format
If No, why not? (Please include if you will be submitting an exception request and/or details of specific challenges in meeting the goal.)
Senior Agency Official for Records Management Report - 2023 Page 2
- 3. Will your agency meet the goal to manage and preserve all temporary records in an electronic format by June 30, 2024? (M-19-21, 1.3 and M-23-07, 1.3)
X Yes No Not applicable, all records are in electronic format
If No, why not? (Please include if you will be submitting an exception request and/or details of specific challenges in meeting the goal.)
- 4. Will your agency meet the requirements of M-19-21, 1.3 and M-23-07, 1.3 to close agency-operated records storage facilities by June 30, 2024? (Choose all that apply)
X Yes No Not applicable, my agency does not have agency- operated records storage facilities Not applicable, all records are in electronic format
If No, why not? (Please include if you will be submitting an exception request and/or details of specific challenges in meeting the goal.)
- 5. Will your agency meet the requirements of M-19-21, 1.3 and M-23-07, 1.3 and transfer inactive records to a NARA Federal Records Center (FRC) or commercial storage facilities by June 30, 2024? (Choose all that apply)
X Yes, we will transfer to the FRC.
Yes, we will transfer to commercial storage facilities No Not applicable, all records are in electronic format
If No, why not? (Please include if you will be submitting an exception request and/or details of specific challenges in meeting the goal.)
- 6. Does your agency have a Data Management Strategy that includes records management principles? (https://www.archives.gov/files/records- mgmt/resources/cdo-rm-assessment-report.pdf)
X Yes No
Please explain your response.
Senior Agency Official for Records Management Report - 2023 Page 3 The NRC has a data strategy with four goals and supporting strategies. Goal 1 is to promote the secure management and governance of agency data. In support of that goal, Management Directive 2.8, Integrated Information Technology/Information Management (IT/IM) Governance Framework was issued. The application of information and records management principle s to all the NRCs information assets and systemsis required by this directive. The Chief Information Officer acts as the Chief Data Officer for the NRC.
- 7. In your role as SAORM, do you meet with your Agency Records Officer(s) to discuss the agency records management programs goals?
X Yes No Not applicable, my agency does not currently have a designated Agency Records Officer
Please explain your response. (If Yes, please include how often, a description of topics, and outcomes of these meetings. If No, please explain why not.)
I meet with the ARO on a regular basis to discuss a variety of topics. These topics include managing Capstone and non-Capstone email, policies on managing non record material, releasing records to the public and the overall status of the records management program.
- 8. Has your agency incorporated NARAs digitization standards into your Information Resource Management (IRM) Strategic Plan? (44 U.S.C. 3506(b)(2) and OMB Circular A-130)
Yes X No Not applicable, my agency is not currently digitizing records
Please explain your response. (If Yes, what steps have been taken? If No, why not?)
The agency will incorporate NARAs digitization standards into the agencys Management Directive 3.53, NRC Records and Document Management Program, which describes the agencys records management policies and is currently undergoing a complete revision.
- 9. Does your agency have a social media strategy that includes capturing and maintaining records in accordance with records management statutes and regulations?
X Yes No
Senior Agency Official for Records Management Report - 2023 Page 4 Please explain your response.
The NRCs social media strategy was issuedon January 5, 2011, published on an internal website,and can be reviewed in the NRCs record keeping system (ADAMS). An update will be included in Management Directive 3.53, NRC Records and Document Management Program, currently under revision.
- 10. Is there specific policy or guidance you need from NARA to support the strategic direction of your records management program?
X Yes No
Please explain your response and include any comments on existing, pending, and future topics.
I am concerned whether the recent issuance of NARAs digitization standards w ill apply retroactively to the records that the NRC has already digitized. The Agency Records Officer has been given some assurance by NARAs appraisal archivist and N ARAs policy office that our records will be grandfathered but NARAs new guidance was silent regarding agencies that had prior permission to destroy source records.
In 1999, the NRC was given permission from NARA to digitize permanent records and destroy the source record under a NARA-approved records schedule. It would be impossible to rescan all permanent records digitized since 1999 (4+ million records) , as the source records no longer exist.
Senior Agency Official for Records Management Report - 2023 Page 5