J.Timothy Sprehe

The positive benefits of electronic records management in the context of enterprise content management

Abstract Risk management by itself is an inadequate rationale for enterprise-wide records management because it is essentially a defensive strategy. Beyond risk management, with electronic records management (ERM) fully implemented an enterprise can realize positive benefits and real cost savings to the information management of essential business functions in the enterprise. This article presents three case studies that illustrate the positive benefits of ERM to non-records management business functions within the context of enterprise content management systems. The article concludes with the argument that records management will not take its rightful place in enterprise information management until ERM is fully integrated within enterprise content management.

Integrating records management into information resources management in U.S. government agencies

This article presents several key issues facing federal agencies with regards to electronic records management practices. The article identifies selected management, technology, implementation, and definitional barriers that agencies encounter when considering how to create and maintain an electronic records management process. A key question for federal agency technology managers is: If an enterprise creates and manages virtually all of its information in an automated information technology systems environment, does it make any sense to manage its records in a manual environment? Based on research conducted by the author, the article reviews various federal agency electronic records management processes and the implications for those practices.

Principal Challenges Facing Electronic Records Management in Federal Agencies Today

Over the past several years, SRA International has served as a contractor to several federal agencies in various aspects of records management. Among other projects, in 2000–2001, SRA carried out a government-wide survey for the National Archives and Records Administration (NARA) which was published as Report on Current Recordkeeping Practices within the Federal Government. In 1997–1998 SRA conducted a business process re-engineering for the Environmental Protection Agency (EPA) with respect to its regulatory docket filing facilities; SRA performed similar services for the Department of Transportation. In 2001–2002, SRA is assisting EPA in developing an agency-wide electronic document management (EDM) and electronic records management (ERM) system. These activities have involved not only systems integration functions but also conducting interviews, debriefings, focus groups, and paper-and-pencil questionnaires with hundreds of federal employees, as well as private sector companies. For the NARA and EPA work, SRA has gathered the perceptions of federal Chief Information Officers, General Counsels, Inspectors General, information technology staff, records managers, and staff carrying out the day-to-day duties of conducting federal programs. The company has also interacted extensively with firms marketing software systems to federal agencies and firms engaged in systems integration and implementation. This article is a distillation of the foregoing experience and reflects the educated opinions of the authors and many SRA experts. The article attempts to delineate the frontiers of ERM in the federal government at the present time.

Information management in federal agencies: The neglected piece of the IRM puzzle

Abstract In an attempt to highlight the importance of managing information as a corporate resource, this article presents several examples of recent attempts by Federal agencies to cope with information management issues. These examples include the Department of Defenses Corporate Information Management (CIM) program, the Federal Aviation Administrations Operational Data Management System (ODMS), and the National Aeronautics and Space Administrations Earth Observing System Data and Information System (EOSDIS). Aspects of these information management activities are highlighted that demonstrate differential agency responses to system development needs and requirements.

The role of situational factors in managing U.S. federal recordkeeping

Abstract This paper reports on a study funded by the National Archives and Records Administration and conducted by the authors to collect information on Federal employees’ views and perceptions on twenty information collection topics pertaining to records creation, maintenance, use, and disposition. Multiple data collection techniques were employed. Findings suggest that in developing records management policy and guidelines, one size will not fit all agencies. A range of situational factors appear to affect the success with which records management is accomplished in the various agencies. Additional research is needed to continue to test and refine these situational factors. Future records management policies and guidelines, however, may wish to consider such situational factors to increase the overall effectiveness of records management.

OMB Circular No. A-130, the management of federal information resources: Its origins and impact

Abstract An OMB circular is a policy directive that tells Federal executive agencies how they shall implement laws or presidential policies. OMB Circular No. A-130, Management of Federal Information Resources, prescribes a general policy framework within the Paperwork Reduction Act for developing uniform and consistent Federal information resources management policies. The need for the policy framework was identified by the Commission on Federal Paperwork, and reaffirmed by the General Accounting Office and the Congress. The Circular enunciates some policies regarding dissemination of information for which Congress has not provided explicit statutory guidance. The Circular is quite general in its policy statements and does not subdistinguish various categories of government information. The principal impact of the Circular will be a continuing emphasis on planning for information resources management.

The U.S. Census Bureau's Data Access and Dissemination System (DADS)

Abstract The U.S. Bureau of the Census has announced its intention of making the Internet and other electronic systems the primary sources for gaining access to its statistics. The Bureau has begun to design the Data Access and Dissemination System (DADS) as the delivery system for the 2000 Decennial Census and ultimately as the single information system for access to all Census statistics. On the basis of consultations with users, the Bureau adopted a set of design principles for DADS. Most custom products available over DADS will be fee-based. Census is also considering the use of partnerships with private sector parties. The Bureau is also developing a metadata system for use in accessing all agency data. Data users have the opportunity to voice their views about the design of DADS.

Policy perspectives on electronic collection and dissemination of information

Abstract This article discusses the relationship of OMB Circular No. A-130, the Management of Federal Information Resources, to the Paperwork Reduction Act. Information collection and information dissemination are treated unequally in the Act. OMBs proposed policy guidance on electronic collection enumerated conditions favorable to electronic collection, and criteria for design and development of electronic collection systems. Issues raised by commenters included the response burden for electronic collection, the importance of benefit-cost analysis, and the advisability of waivers. Policy issues to be treated in forthcoming proposed OMB policy guidance on electronic collection include requirement of agency inventories of information dissemination products and services, the meaning of adequate notice prior to initiating or terminating dissemination, and other general guidance.

Does the Federal government need an A-130 for STI?

Abstract The article argues that the Federal government needs to develop special government-wide policies, similar to OMB Circular No. A-130, which would be applicable to scientific and technical information (STI). After exploring the relation between government information and government STI, the author points out that Federal statistics has its own special set of policies known as Statistical Policy Directives. STIs situation is different from other government information because it is carried out in the culture of science and academia, in the culture of classified information and export controls, and in the international arena. A policy circular for STI would touch on Federal research and development, technology transfer, classified and export control information, international considerations, interagency sharing, and several existing areas of policy. The Office of Management and Budget, the Office of Science and Technology Policy, or the National Science and Technology Council could issue the policy.

Online public access to federal agency computers

Abstract This article discusses the growing phenomenon of Federal agencies permitting online public access to their computers. Many agencies are experiencing public demand for such access, and the article discusses examples of public access programs. An agencys response to the demand depends on its stance toward information dissemination. Consensus is growing that online public access is inevitable and agencies are seeking to devise relevant information policies.