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

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slide1

Designing a Corporate Records Management Portal for NARA

Kristin Burneston

Greg Johnson

Eric Stoykovich

Charlotte Sturm

LBSC 635 – Summer II

Wednesday, August 17, 2011

slide2

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
slide3

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
slide4

NARA’s Transformation &

Records Management

*Future NARA Organization: A Charter for Change

problems of corporate records management at nara
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.
problems of corporate records management at nara1
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.
slide7

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.

slide8

Records Life Cycle

  • *https://records-training.llnl.gov/BS4040-W/lifecycle.html
slide9

Users of the CRM Portal

General Staff

  • Reference Archivist
  • Accountant
  • Research Chemist
  • Human Resources Officer
  • Education Specialist
  • Presidential Librarian
slide10

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
slide11

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
slide12

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
slide13

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.

slide14

Logistics & Security

  • Accessed through Intranet, NARA@work
  • General User
    • - No additional login required
  • IO, IMO, CRM
    • - Additional login required
do you have a record
Do you have a Record?

Welcome to the Corporate Records Management Portal

C

R

M

P

Please login to begin.

Login ID:

Password:

do you have a record1
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

slide17

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
do you have a record2
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

do you have a record3
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

do you have a record4
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

do you have a record5
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

do you have a record6
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

do you have a record7
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

do you have a record8
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

do you have a record9
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

do you have a record10
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

do you have a record11
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

do you have a record12
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

do you have a record13
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

slide31

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

slide32

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

do you have a record14
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

slide34

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
slide36

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)
slide37

Integration with Other Tools

  • New Tools
    • SharePoint
    • Records Management Wiki
    • Use Statistics Software
slide38

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
slide39

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.
slide40

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
slide41

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?

slide42

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?

slide43

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
slide44

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
citation of images
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