designing a corporate records management portal for nara
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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 - PowerPoint PPT PresentationTRANSCRIPT
Designing a Corporate Records Management Portal
for NARAKristin BurnestonGreg Johnson
Eric StoykovichCharlotte Sturm
LBSC 635 – Summer IIWednesday, August 17,
2011
Mandate of Our TeamPurpose
– 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
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
NARA’s Transformation & Records Management
*Future NARA Organization: A Charter for Change
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 isdifficult.• NARA’s records management is currently reactive.
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.
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.
Records Life Cycle
*https://records-training.llnl.gov/BS4040-W/lifecycle.html
Users of the CRM Portal General Staff
– Reference Archivist
– Accountant
– Research Chemist
– Human Resources Officer
– Education Specialist
– Presidential Librarian
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
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
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
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.
Logistics & Security
• Accessed through Intranet, NARA@work
• General User- No additional login required
• IO, IMO, CRM- Additional login required
Do you have a Record?
Login ID:
Password:
Please login to begin.CRMP
Welcome to the Corporate Records Management Portal
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
Welcome to the Corporate Records Management Portal
Discover if you have a record
Search the Library
New to the Portal?
You have questions, We have answers
Recent News
This Month’s Helpful Hint
Learn how to manage your email.
Keyword Search GO
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 Record?
Contact
Library
FAQs
Training
Is it a Record?
About
Is it a Record?
Answer the questions below to determine if your document is a record.
Did you create the document?
Yes
No
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
Is it a Record?
Did you receive and/or maintain the information as part of your job?
Yes
No
Answer the questions below to determine if your document is a record.
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
Is it a Record?
Is it an original/unique document?
Yes
No
Answer the questions below to determine if your document is a record.
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
Is it a Record?
Is it an original/unique document?
Yes
No
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).
Answer the questions below to determine if your document is a record.
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
Is it a Record?
Is this document the most complete version to describe your own or your team's business activities?
Yes
No
Answer the questions below to determine if your document is a record.
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
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.
Continue
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
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?
No to All Questions Continue
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
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?
No to All Questions Continue
Did you create, maintain, and/or submit
the information as instructed by a NARA
directive, standard operating procedure or
by your manager?
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
Protection of Information
1. Does your Record contain any Personal Identifiable Information (PII)? Please select all that apply.
Submit
Social Security Numbers
Dates of Birth
Medical Information
Financial Accounts
Credit Card Numbers
2. Does your Record subject to any of the following? Please select all that apply. Litigation Holds
FOIA Requests
Classified Information
N/A
N/A
Do you have a Record?
Contact
Library
FAQs
Training
Is it a Record?
About
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.
Did you create the document?
YesIs it an
original/unique document?
Yes
Is this document the most complete
version to describe your own or your team's business
activities?
Yes
This is a record keeping copy.
Continue to the following questions to determine if it is your responsibility
to protect and preserve this document.
NoThis is not a record
keeping copy.
It is at your discretion as to what you wish to do
with the document.Personal and transitory
documents and convenience copies may be of short term interest.
Keep for 180 calendar days or less depending on
its use.
No
No Did you receive and/or maintain the information as part of your
job?
Yes
No
Decision Tree
Do you have a Record?
Notify CRM
LibraryDocume
nt ReviewTeam
Work Space
Manage Records
About
Customize
Welcome to the Corporate Records Management Portal
You have: 5 Alerts
6 Questions 7 Comments
NWML File Plan
Search Database
Search Library
Inventory Records
Run Reports
LMS
ERA
HMS
Do you have a Record?
Notify CRM
LibraryDocume
nt ReviewTeam
Work Space
Manage Records
About
Customize
Welcome to the Corporate Records Management Portal
You have: 5 Alerts
6 Questions 7 Comments
NWML File Plan
Search Database
Search Library
Inventory Records
Run Reports
LMS
ERA
HMS
Inventory
Schedule
File Plan
Notify CRM
LibraryDocume
nt ReviewTeam
Work Space
Manage Records
About
Customize
1. Contact:
2. *Department:
3. RG Number:
4. *Fiscal Year:
5. Accession Number:
6. *File Number:
7. *Location:
8. *Volume:
Inventory
*Required fields
Notify CRM
LibraryDocume
nt ReviewTeam
Work Space
Manage Records
About
Customize
9. Box Number:
10. *Restriction:
11. *Disposal Authority:
12. Disposal Date:
13. Series Description:
Inventory
YesNo
*Required fields
Submit
Do you have a Record?
Library
Contact
Library
FAQs
Training
Is it a Record?
About
GOKeyword Search
Browse Library Documents by Topic
Browse All Library Documents
Search within a Topic
Search All Library Documents
List All Topics
Newly Approved Schedules
GO
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
Table 2.1: Library: Document Information
Column Name Column Description Data Type Primary Key
Topics Pick one or more topics to describe document’s content
Topics Authority List
None
Related Tools Text (100) None
Column Name Column Description Data Type Reference
Document ID Auto-generated Number Primary Key
Document Title Text (50) None
Brief Description Text (100) None
Full Description Text (300) None
Document Date Date written Date None
Author Text (100) None
Organization Author’s organization Text (100) None
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)
Integration with Other Tools
New Tools
• SharePoint
• Records Management Wiki
• Use Statistics Software
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
CRM Portal as a Record• An electronic system that creates
informationand data about NARA’s internal business processes
• Once implemented, the portal should be scheduled.
Research Question 1
• Identifying Records
• Classifying Records/Categorization
• Records Inventory
• Maintenance and Storage of Records
• Disposition of Temporary and Permanent Records
What are the common recordkeeping tasks that your portal addresses?
Research Question 2
STATUTORY PROVISIONS FOR IDENTIFYING FEDERAL RECORDS Title 44 U.S.C. - Sec. 3301. Definition of records GSA 36 CFR Part 1220 – Federal Records; General GSA 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?
What agency records management requirements (laws, regulations, and guidance) does your portal support and how?
Research Question 2
§ 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?
What agency records management requirements (laws, regulations, and guidance) does your portal support and how?
Research Question 3
• 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
Are there any other products on the market that can be used in conjunction with your portal and how would they work together?
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
Questions?
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