Designing a Corporate Records Management Portal for NARA

1. Designing a Corporate Records Management Portal for NARA Kristin Burneston Greg Johnson Eric Stoykovich Charlotte Sturm LBSC 635 – Summer II Wednesday, August 17, 2011

2. Mandate of Our Team Purpose • To design “records management implementation tools” for the Office of Corporate Records Management (CRM) at NARA Participating Customer • Susan Sullivan, Director of Corporate Records Management (CRM) at NARA

3. Methodology & Process • Received documents from Susan Sullivan • Tool Kit • Conducted research on records management online • http://www.archives.gov • Brainstormed about the portal’s functionality and its users • Created a wiki • Divided tasks based on each team • member’s strengths and experiences

4. NARA’s Transformation & Records Management *Future NARA Organization: A Charter for Change

5. Problems of Corporate Records Management at NARA • NARA is a large organization with • multiple locations throughout the country. • Records are not routinely identified, • scheduled and managed. • Implementation of records schedules is • difficult. • NARA’s records management is • currently reactive.

6. Problems of Corporate Records Management at NARA • Increased use of electronic • communication and desktop software • has turned nearly all employees into managers of their own records. • Employees may not fully understand • the “What” or the “How” of their • records management responsibilities.

7. Title 44 U.S.C. - Sec. 3301. Definition of records As used in this chapter, "records" includes all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of data in them. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents are not included.

8. Records Life Cycle • *https://records-training.llnl.gov/BS4040-W/lifecycle.html

9. Users of the CRM Portal General Staff • Reference Archivist • Accountant • Research Chemist • Human Resources Officer • Education Specialist • Presidential Librarian

10. Users of the CRM Portal Implementation Officer (IO) • Is the primary/first contact for NARA staff at the business unit level for records management matters • Develops file plans & record inventories • Trains local staff at unit level • Executes disposition at unit level • Implements procedures • Provides records management information to IMO or CRM for evaluation of compliance and performance

11. Users of the CRM Portal Information Management Officer (IMO) • Coordinates records management activities of a major office or component within NARA • Implements and updates recordkeeping policies, procedures, and corporate strategies for all NARA units under their responsibility • Serves as the primary contact and customer of the Corporate Records Management Staff

12. Users of the CRM Portal Corporate Records Management (CRM) Staff • Charged with records management duties for NARA's business records • Trains and oversees the work of the IOs and IMOs • Collaborates with Applied Research Office and consults with Chief Records Officer

13. The CRM Portal Mission The Corporate Records Management Portal is a suite of tools to assist all NARA employees with their recordkeeping responsibilities, including the identification, storage, management, and protection of records that document the business activities of NARA.

14. Logistics & Security • Accessed through Intranet, NARA@work • General User • - No additional login required • IO, IMO, CRM • - Additional login required

15. Do you have a Record? Welcome to the Corporate Records Management Portal C R M P Please login to begin. Login ID: Password:

16. Do you have a Record? Welcome to the Corporate Records Management Portal GO Keyword Search About Discover if you have a record Search the Library New to the Portal? You have questions, We have answers Is it a Record? Library Training This Month’s Helpful Hint FAQs Learn how to manage your email. Contact Recent News

17. Use Case • Howard Lowell: the Deputy Assistant Archivist for NARA’s Office of Records Services • Florence: his administrative assistant • The Document: an official letter to Michael Chertoff, the director of Homeland Security • Florence’s Task: determining if the letter is a record of the business activities of NARA

18. Do you have a Record? Is it a Record? Answer the questions below to determine if your document is a record. About Did you create the document? Is it a Record? Library Training Yes FAQs No Contact

19. Do you have a Record? Is it a Record? Answer the questions below to determine if your document is a record. About Did you receive and/or maintain the information as part of your job? Is it a Record? Library Training Yes FAQs No Contact

20. Do you have a Record? Is it a Record? Answer the questions below to determine if your document is a record. About Is it an original/unique document? Is it a Record? Library Training Yes FAQs No Contact

21. Do you have a Record? Is it a Record? Answer the questions below to determine if your document is a record. About Is it an original/unique document? Is it a Record? Original/Unique in today’s electronic world often means it’s a print-out with handwritten notes, handwritten material, or a hard copy with no corresponding electronic source file(s). Library Training Yes FAQs No Contact

22. Do you have a Record? Is it a Record? Answer the questions below to determine if your document is a record. About • Is this document the most complete version to describe your own or your team's business activities? Is it a Record? Library Training Yes FAQs No Contact

23. Do you have a Record? Is it a Record? • This is a record keeping copy. • Continue to the following questions to determine if it is your responsibility to protect and preserve this document. About Is it a Record? Library Training FAQs Contact Continue

24. Do you have a Record? If you can answer “Yes” to any of the following, you have record material that you are responsible for preserving. Please click the Continue button below. • 1. Is your document a grant, contract, litigation case file, • Government purchase card documentation or similar item? • 2. Does your document contain CPIC documentation, contract information, completed Standard Forms or similar content? • 3. Is your document a draft or contain review comments, e-mail discussions, preliminary drafts of directives or similar content? • 4. Is your document a completed form, correspondence, agreement, plan, case file, report or similar item? • 5. Does your document contain FOIA requests, controlled correspondence, Action Notice or similar items? • 6. Does your document contain guidance documents, policies, procedures or similar items? • 7. Is your document a Systems Development Lifecycle (SDLC) document, backup log, user account request form, security plans or similar item? About Is it a Record? Library Training FAQs Contact No to All Questions Continue

25. Do you have a Record? If you can answer “Yes” to any of the following, you have record material that you are responsible for preserving. Please click the Continue button below. • 1. Is your document a grant, contract, litigation case file, • Government purchase card documentation or similar item? • 2. Does your document contain CPIC documentation, contract information, completed Standard Forms or similar content? • 3. Is your document a draft or contain review comments, e-mail discussions, preliminary drafts of directives or similar content? • 4. Is your document a completed form, correspondence, agreement, plan, case file, report or similar item? • 5. Does your document contain FOIA requests, controlled correspondence, Action Notice or similar items? • 6. Does your document contain guidance documents, policies, procedures or similar items? • 7. Is your document a Systems Development Lifecycle (SDLC) document, backup log, user account request form, security plans or similar item? About Is it a Record? Library Training Did you create, maintain, and/or submit the information as instructed by a NARA directive, standard operating procedure or by your manager? FAQs Contact No to All Questions Continue

26. Do you have a Record? Protection of Information • 1. Does your Record contain any Personal Identifiable Information • (PII)? Please select all that apply. About Social Security Numbers Is it a Record? Dates of Birth Medical Information Library Financial Accounts N/A Credit Card Numbers Training • 2. Does your Record subject to any of the following? Please • select all that apply. Litigation Holds FAQs FOIA Requests Contact Classified Information N/A Submit

27. Do you have a Record? Protection of Information • Protect all hard copies of records by filing them in labeled folders • stored inside a locked (as practical) file cabinet. For born digital records, print them out and file them. After they’ve been printed and filed, delete them. • When it is not practical to “print and file,” secure electronic • records in File Surf ( as available) or, store them on a NARAnet storage location that is both password protected and backed-up. • Click here for specific suggestions on how to store email and other electronic records. • Create a list of records you have identified and protected. Share • this list with your supervisor and co-workers so that they can gain access to this information in the event of your absence. Also, ensure that keys to locked storage are available. About Is it a Record? Library Training FAQs Contact

28. Decision Tree

29. Do you have a Record? Welcome to the Corporate Records Management Portal NWML File Plan About Search Database Search Library Inventory Records Run Reports Manage Records ERA Library LMS HMS Document Review Team Work Space You have: 5Alerts 6Questions 7Comments RM Wiki Notify CRM Customize

30. Do you have a Record? Welcome to the Corporate Records Management Portal NWML File Plan About Search Database Search Library Inventory Records Run Reports Manage Records Inventory Schedule File Plan ERA Library LMS HMS Document Review Team Work Space You have: 5Alerts 6Questions 7Comments RM Wiki Notify CRM Customize

31. Inventory • Contact: • *Department: • RG Number: • *Fiscal Year: • Accession Number: • *File Number: • *Location: • *Volume: About Manage Records Library Document Review Team Work Space Notify CRM *Required fields Customize

32. Inventory • 9. Box Number: • 10. *Restriction: • 11. *Disposal Authority: • 12. Disposal Date: • 13. Series Description: Yes About No Manage Records Library Document Review Team Work Space Notify CRM Submit *Required fields Customize

33. Do you have a Record? Keyword Search GO Library Browse Library Documents by Topic Browse All Library Documents Search within a Topic Search All Library Documents List All Topics Newly Approved Schedules About Is it a Record? Library GO Training FAQs Contact

34. Data Dictionary • “A centralized repository of information about data such as meaning, relationships to other data, origin, usage, and format”* • CRMP is a relational database with sections for • Security • Library • Manage Records • Inquiry Tracking • *IBM Dictionary of Computing, as cited in Wikipedia

35. Table 2.1: Library: Document Information

36. Integration with Other Tools • Existing NARA Tools • Records Express Blog • Existing spreadsheets and other tracking tools currently in use by CRM • Learning Management System (LMS) • Holdings Management System (HMS) • Electronic Records Archives (ERA)

37. Integration with Other Tools • New Tools • SharePoint • Records Management Wiki • Use Statistics Software

38. Compliance Measurement Tools Based on: • Software statistics • Specific goals for use and compliance rates • User satisfaction surveys • Annual surveys of each NARA office by IMOs and CRM

39. CRM Portal as a Record • An electronic system that creates information • and data about NARA’s internal business processes • Once implemented, the portal should be • scheduled.

40. Research Question 1 What are the common recordkeeping tasks that your portal addresses? • Identifying Records • Classifying Records/Categorization • Records Inventory • Maintenance and Storage of Records • Disposition of Temporary and Permanent Records

41. Research Question 2 What agency records management requirements (laws, regulations, and guidance) does your portal support and how? STATUTORY PROVISIONS FOR IDENTIFYING FEDERAL RECORDS Title 44 U.S.C. - Sec. 3301. Definition of records GSA 36 CFR Part 1220 – Federal Records; GeneralGSA 36 CFR Part 1222 – Creation and Maintenance of Federal Records§ 1220.18 What definitions apply to the regulations in Subchapter B?§ 1222.3 What standards are used as guidance for this part? See also ISO (International Organization for Standardization) 15489 – 1:2001§ 1222.10 How should agencies apply the statutory definition of Federal records?

42. Research Question 2 What agency records management requirements (laws, regulations, and guidance) does your portal support and how? § 1222.10 How should agencies apply the statutory definition of Federal records?§ 1222.12 What types of documentary materials are Federal records?§ 1222.14 What are nonrecord materials?§ 1222.20 How are personal files defined and managed?§ 1222.22 What records are required to provide for adequate documentation of agency business?§ 1222.26 What are the general recordkeeping requirements for agency programs?§ 1222.32 How do agencies manage records created or received by contractors?

43. Research Question 3 Are there any other products on the market that can be used in conjunction with your portal and how would they work together? • Use statistic software • Wiki software • SharePoint • DoD 5015.2 Certified Records Management Applications • Auto-Categorization tools/software • Off-the-shelf order tracking/customer service software

44. Recommendations • Review portal design • Support for IOs and IMOs • Standardize records management through • exclusive use of the CRMP • Customized portals for each federal agency • ERA I5 and CRMP • DoD 5015.2-certified RMA software • Auto-categorization software

45. Questions?

46. Citation of Images • Image from: • Slide 3 • http://librarykvpattom.wordpress.com/category/library-jokes-cartoons/ • Slide 5 • http://www.google.com/imgres?q=person+drowning+in+papers&um=1&hl=en&safe=active&sa=N&biw=1139&bih=652&tbm=isch&tbnid=0TQuFeG51arKMM:&imgrefurl=http://www.virgoman.com/services.php&docid=dFaFO04IGnKkFM&w=322&h=373&ei=ANBDTr71CYjagQfSmOTVCQ&zoom=1&iact=rc&dur=63&page=5&tbnh=152&tbnw=131&start=58&ndsp=12&ved=1t:429,r:6,s:58&tx=-116&ty=245 • Slide 8 • https://records-training.llnl.gov/BS4040-W/lifecycle.html • Slide 12 • http://www.google.com/imgres?q=file+cabinet+cartoon&um=1&hl=en&sa=N&tbm=isch&tbnid=RqytUSVmxaIKOM:&imgrefurl=http://www.clipartpal.com/clipart/cartoon/cartoon272.html&docid=4LrXlHs9GyxWPM&w=128&h=89&ei=KI5GTrvED4bt0gHlxfHfBw&zoom=1&iact=hc&vpx=784&vpy=325&dur=200&hovh=71&hovw=102&tx=64&ty=37&page=3&tbnh=71&tbnw=102&start=42&ndsp=21&ved=1t:429,r:18,s:42&biw=1311&bih=646 • Slides 6 & 39 • http://www.naa.gov.au/records-management/training/keep-the-knowledge/index.aspx • Slide 45 • http://www.defence.gov.au/news/navynews/editions/5010/seachange/seachange1.htm