NARAs Agency Services Bimonthly Records and Information Discussion
NARA’s Agency Services Bimonthly Records and Information Discussion Group (BRIDG) Monday, March 30, 2015
Today’s Meeting Agenda • Federal Records and Information Maturity Model ~ Cindy Smolovik, Supervisor Records Management Oversight Team • Expedited Records Schedule Approval Process ~ Rachel Ban Tonkin, Supervisor, Appraisal Team 1 and Margaret Hawkins, Director, Records Management Services • Developments in Transfers and Disposition ~ Scott Roley, Assistant Director for Operations (T&D), Federal Records Center Program • Target Audience Analysis Project ~ Gary Rauchfuss, Director, Records Management Training Program 2
Federal RIM Program Maturity Model Cindy Smolovik, Supervisor, Records Management Oversight Team
The M-12 -18 Task Action Item B (4): Identify a government wide analytical tool to evaluate the effectiveness of records management programs.
How we got here 2012 - 2013 review was conducted 2013 a decision was made to form a FRCNARA working group to modify the DHS RM 3 i model 2013 -2014 Federal RIM Program Maturity Model Project 5
Department of Homeland Security • (Tammy Hudson and Suzanne Gill) Department of Justice NARA • (Cindy Smolovik and Stephanie Weaver) • (Jenny Plante) Securities and Exchange Commission Department of Transportation • (Ron Swecker) • (Aimee Primeaux) Department of the Interior • (Ed Mc. Ceney) 6
Level 0 Level 1 Level 2 Level 3 Level 4 ABSENT DEVELOPING FUNCTIONING ENGAGED EMBEDDED Some RIM program activity with most areas still under development Consistent RIM program activity with some areas still under development; stable environment Fully established, engaged, active environment Completely established RIM program that is strategically aligned and embedded agency-wide Little or no RIM program activity Performance Levels 7
Organizing Principles and Elements Management Support and Organizational Structure Policy, Standards, and Governance RIM Program Operations Strategic Planning Policy, Standards and Governance Framework Lifecycle Management Leadership and Management Compliance Monitoring Retrieval and Accessibility Resources Risk Management Integration Awareness Communications Security and Protection Internal Controls Training 8
How to use it • Two files – Excel Tool Federal Maturity Model Tool. xlsx – Users’ Guide • • Provides advice on using the tool Principles and elements in a table Glossary of terms used in the tool Helpful resources for RIM 9
Assessment Criteria Example Statement 3 -2: Retrieval and Accessibility The level to which records and information are easily retrievable and made accessible when needed for agency/component business. Level 0(a) Records are not consistently retrievable or accessible in a timely manner (b) No defined processes for maintaining records making access and retrieval difficult (c) RIM processes are performed ad hoc (d) No formal definition or classification of records Level 1(a) Most records can be accessed and retrieved in a timely manner (b) Little/no RIM strategy for access and retrieval with localized management of records (c) RIM processes for maintaining records are starting to be standardized agency/component-wide Level 2(a) Formal processes exist in order for records to be accessed and retrieved in a timely manner (b) Standardized RIM lifecycle processes have been developed across the agency/component making access and retrieval of records more reliable (c) Standardized processes for access and retrieval are beginning to be promulgated across the agency/component Level 3(a) Processes for identification and classification of records are standardized across the agency/component making access and retrieval reliable (b) Records are usually accessed and retrieved in a timely manner Level 4(a) Records identification and classification processes are documented and integrated with agency/component business/mission at the strategic level in order for records to be accessed and retrieved in a timely manner (b) Records definitions have been developed at the agency/component level making access and retrieval accurate and efficient (c) All records are accessed and retrieved whenever needed in a timely manner Notes: Assessment: Level 3 - Engaged 3 10
Maturity Summary Domain 1: Management Support and Organizational Structure Statement Level Score Level 0 - Absent 0. 0 1 -2: Leadership and Management Level 2 - Functioning 2. 0 1 -3: Resources Level 1 -Developing 1. 0 1 -4: Awareness Level 1 -Developing Summary Tab 1 -1: Strategic Planning Domain 1 Maturity Score: 1. 0 Domain 2: Policy, Standards, and Governance Statement 2 -1: Policy, Standards, and Governance Framework 2 -2: Compliance Monitoring Level Score Level 0 - Absent 0. 0 2 -3: Risk Management Level 1 -Developing 1. 0 2 -4: Communications Level 1 -Developing 1. 0 2 -5: Internal Controls Level 2 - Functioning Domain 2 Maturity Score: 2. 0 0. 8 Domain 3: RIM Program Operations Statement Level Score 3 -1: Lifecycle Management Level 3 - Engaged 3. 0 3 -2: Retrieval and Accessibility Level 3 - Engaged 3. 0 Level 2 - Functioning 2. 0 Level 3 - Engaged 3. 0 Level 1 -Developing 1. 0 3 -3: Integration 3 -4: Security and Protection 3 -5: Training Domain 3 Maturity Score: 2. 4 Composite Maturity Score: 1. 4 11
Next Steps Making the tool available Voluntary use by whoever wants to use it 12
Questions? Contact prmd@nara. gov 13
Improving the Current Request for Records Disposition Authority Process March 30, 2015 Rachel Ban Tonkin, Supervisor, Appraisal Team 1 Laurence Brewer. Director, NRMP
Introduction The OMB/NARA Memorandum M‐ 12‐ 18 Managing Government Records Directive Action C 1 (MGRD‐C 1) directs NARA to “Improve the Current Request for Records Disposition Authority Process” stating: By December 31, 2015, NARA will improve the current Request for Records Disposition Authority process. Consistent with current Federal records management statutes, or with changes to existing statutes (if required), NARA will also develop criteria that agencies can apply to the scheduling, appraisal, and overall management of temporary records that can be effectively monitored with appropriate NARA oversight. 15
Methodology • Focus – Clearly temporary records • Benchmarking – Domestic and international/Federal and state agencies, focusing on differences in how agencies implement the records scheduling process – Federal procedures that permit direct reporting by agencies including • Privacy Impact Assessments (PIA) • System of Records Notices (SORN) • Delegated examining authority used by OPM 16
Current Process • Agencies currently request disposition authority for records in the following categories: – Permanent • Records that NARA considers to have archival value – Context dependent records • Records may be appraised as permanent records in one agency and as temporary for another agency – Clearly Temporary • Records that ultimately have little or no use beyond the day‐to‐day operation of the agency. – GRS exceptions • NARA approval is required to extend or shorten GRS retention period 17
Two Proposed Approaches • Delegated Disposition Authority – Agencies have the authority to approve some or all temporary records – NARA is not pursuing this option • Expedited Approval Process – Provide a fast track schedule process that agencies can use to identify and schedule clearly temporary records – NARA is pursuing this option 18
Proposed Delegated Disposition Authority • NARA is not pursuing this option • Modeled on the OPM delegated examining authority. • Regular audits/inspections and recertification process would provide mechanisms for NARA to maintain its oversight role • Scope could range from – Disposal of all temporary records, or – Limited to a NARA-defined subset 19
Proposed Delegated Disposition Authority Program • Training – Agency staff would need intensive training in • Records appraisal • Developing an internal disposition approval process • Documenting disposition decisions • Crafting notices for the Federal Register – NARA would need to significantly expand training program • Audits, Reporting, and Inspections – – Initial inspection to determine eligibility for delegated authority Audits on 3 year cycles to maintain delegated authority Agency annual reports summarizing delegated authority activities Requires NARA program staff and additional FTE for audits and inspection 20
Proposed Delegated Disposition Authority • Reasons to not pursue this option – Small volume of eligible records – GRS expansions will reduce volume of eligible records – Potential limited buy-in from interested agencies because agencies would lose legal cover from a NARA-approved disposition authority – Public/government perception of NARA abdication of oversight role – Resource limitations – Number of sufficiently robust agency records management programs resourced to carry this out 21
Expedited Approval Process Pilot • Builds on past work on improving the process, including: – Emphasis on reducing and eliminating the backlog – Requiring agencies and NARA to follow regulation requirements for schedules to be accepted for processing – Improvements to the internal NARA stakeholder review for record schedules – Cross-team sharing of schedules to manage ebbs and flows in agency schedule submissions and staffing changes 22
Expedited Approval Process Pilot • NARA‐controlled approval process for clearly temporary records. – Pilot began October 1, 2014 – Soft roll out to test process • Process most appropriate for previously unscheduled records • We will re-evaluate application and scope of the questionnaire based on pilot experience 23
Expedited Approval Process Pilot • Clearly Temporary Records Questionnaire (NA-13175) – Checkbox form to determine if records qualify for expedited approval as clearly temporary records – Form designed to elicit the information needed to make an informed appraisal decision – No appraisal memo will be written – Schedules will not be forwarded to NARA stakeholders for review – Clearly temporary records do not require an appraisal meeting – Used as a data source for future GRS items 24
Expedited Approval Process Pilot • NARA appraisal archivist vets schedule against the questionnaire – If satisfactory • NARA simultaneously registers the job and prepares a Federal Register notice – If substantial additional information is needed or a significant challenge is posed through the Federal Register comment process, then the schedule goes through the full process (NARA internal stakeholder review and appraisal memo) 25
Expedited Approval Process Pilot • Can be completed by agency or appraiser • Appraiser reviews agency responses, and may request clarification • If records are inappropriate for the process, appraiser will notify agency 26
Expedited Approval Process Pilot • General information plus question on records in FRC, and whether records are covered by the GRS 27
Expedited Approval Process Pilot • Laws that dictate disposition periods • Rescheduling records • Government records standardization caveat 28
Expedited Approval Process Pilot • Permanent and temporary records are interrelated • Relationship to permanent records requires extra review • Records provide a tool for accessing permanent records 29
Expedited Approval Process Pilot • Types of records that are generally, but not always, appraised as permanent. • Warrant internal NARA stakeholder review 30
Expedited Approval Process Pilot • http: //www. archives. gov/recordsmgmt/scheduling/expedited-faq. html 31
Questions? Margaret Hawkins, CRM Director, Records Management Services Margaret. Hawkins@nara. gov (301) 837 -1799 32
Federal Records Centers Program National Transfer and Disposition Program BRIDG March 30, 2015
National T&D Teams and Roles New to the Team • Scott Roley • Catherine Nolan • Michael O’Connor • Stephanie Montgomery – Assistant Director for Operations (T&D) • Russell Loiselle – National T&D Coordinator – Acting TIL Coordinator • Patrick Weigel – National Disposition Coordinator
National T&D – Services and Roles Applying approved schedules to FRC holdings Roley , Weigel Applying and lifting disposition “freezes” Loiselle, Roley Authorized agency disposal approvers Account Managers, Weigel, Loiselle Specialized ARCIS queries Weigel, Roley Agency Assistance Team assignments
NT&D Planning Priorities, 20132015 • ARCIS disposition authority updates • Disposition processes • Permanent, unscheduled and “other” records • Disposal backlog • Frozen records
NT&D Planning Priorities, 20132015 • ARCIS disposition updates • Disposition processes • Permanent, unscheduled and “other” records • Disposal backlog • Frozen records Tobacco Industry Litigation (TIL) lift
ARCIS • Disposition Authority Table – 16, 000 validated authorities – 80% of all transfers and 83% of transfers eligible for destruction in July 2015 complete • Business Intelligence (BI) deployed – Identify collection anomalies – Provide standard reports
Disposal Review Report
TIL Disposal
Disposal Process • Vision – Remote process through ARCIS • FRCP procedures in place • Agency “To Be” – Simplify process, hold down cost, retain reliability • Validated 13001 s mailed after single review • Flagged and returned approved 13001 s receive full review – Agency partners in disposal • Quality review process
March 25: Agency Disposition Profile • Backlog – Includes separate figures for TIL – Limited backlog disposal projects continue • Clarifies Unscheduled and other records – “Limbo” codes • Pending Agency Action, Archival Sample, Deferred Reappraisal Pending, Unscheduled – M-12 -18, Goal 2. 5 • 13, 000 Unscheduled transfers with disposition authority moved to Pending Agency Action
Agency Profile
General Records Schedules • Issue: agency manuals • Agencies to incorporate within six months of issuance • Temporarily resolved through ARCIS analysis • Contacting agencies to convert to DAA-GRS-2013 -0001
TIL-lift Plan
TIL-lift Plan • 12 million cubic feet under TIL • 2. 2 million cubic feet immediately disposable • 190, 000 transfers immediately disposable • 800, 000+ cubic feet proposed for disposal in first two quarters (60+ cubic feet) or as arranged through agency feedback
TIL-lift Plan • Balance FRCP capacity and agency flexibility • Consider FY 2015/2016 (and beyond) budgets • Feedback proved as expected • Early FY 2016 budget commitment can mean earlier disposal and greater savings
TIL: Agency Point-of-View • Budget available for FY 2015 – If 60+ transfers, move to July cycle – Potential agency-specific Terms and Conditions • Budget not available until FY 2016 – If 60+ transfers, move to October cycle – Potential agency-specific Terms and Conditions • Budget or other barrier to TIL-lift disposal
TIL: Disposal Lessons Learned • Agency disposal review process – Centralized or other – Update assignments – Identify litigation and other holds – Provide training • FRCP assistance – Account Manager reports – Alternatives to signed NAF 13001
Questions? Scott Roley scott. roley@nara. gov 206 -445 -4147
Training Discussion Gary Rauchfuss, Director, Records Management Training Program gary. rauchfuss@nara. gov
Managing Government Records Directive Goal 2. 3 Data • Disclaimer – Agency Records Officers certificate data is a moving target • 261 designated AROs • 85% are in compliance • GAO requested by name report for numerous agencies 52
Future Records Management Learning Center SAO ARO RL/RC Everyone RM Certificate Training Courses Performance Support Tools Other Training Resources CIO/IT Staff Tasks PMs Collaboration Center Legal Staff IGs KA Courses Use ERA Education – information about RM Training – how to do RM tasks Conduct RM Inspection Complete RMSA Course catalog Test item/Test repository Performance Support catalog Task catalog Collaboration/Knowledge Management Center 53
Target Audience Analysis Audience Groups • Senior Agency Officials • Agency Records Officers • Records liaisons, custodians • Everyone • CIO/IT staff • Program managers • Legal • IGs Audience Description • Characteristics • Background knowledge • Motivation • RM responsibilities • RM performance goals Face-to-face and virtual focus group events to understand your RM learning needs. 54
Focus Group Schedule Date 12/10/2014 3/3/2015 3/4/2015 3/26/2015 3/30/2015 3/31/2015 4/2/2015 4/15/2015 Time 1: 00 -3: 00 1: 00 -3: 00 1: 00 -3: 00 Target Audience Agency Records Officers Records Liaison Officers Information Technology Staff Agency Records Officers Office of General Counsel Agency Records Officers Audience Location DC - A 1 (BRIDG) DC Outside DC DC - A 1 (BRIDG) • Need more participation from IT staff and program managers • One-on-one interviews are an option All times are eastern. Face to face session Virtual session Completed session 55
Points of Contact Jill Snyder Jill. snyder@nara. gov Gary Rauchfuss gary. rauchfuss@nara. gov (301) 837 -1710 or (301) 310 -3487 56
Reminder: Meet and Greet/Focus Group 1: 00 p. m. to 3: 00 p. m. in the Jefferson Room (Mezzanine level) • The Post-BRIDG Appraisal Team Meet and Greet ~ Hosted by Appraisal Team 3 • Target Audience Analysis Focus Group ~ Conducted by NARA’s National Records Management Training program 57
BRIDG FY 2015 Meeting Dates Date April 15, 2015 June 17, 2015 August 19, 2015 Location Mc. Gowan Theater * Go to http: //www. archives. gov/recordsmgmt/meetings/#dates for BRIDG meeting listing 58
- Slides: 58