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NARA’s Agency Services Bimonthly Records and Information Discussion Group (BRIDG)

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

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NARA’s Agency Services Bimonthly Records and Information Discussion Group (BRIDG)

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  1. NARA’s Agency Services Bimonthly Records and Information Discussion Group (BRIDG) Monday, March 30, 2015

  2. 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

  3. Federal RIM Program Maturity Model Cindy Smolovik, Supervisor, Records Management Oversight Team

  4. The M-12-18 Task Action Item B (4): Identify a government wide analytical tool to evaluate the effectiveness of records management programs.

  5. How we got here

  6. Performance Levels

  7. Organizing Principles and Elements

  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

  10. Summary Tab

  11. Next Steps

  12. Questions? Contact prmd@nara.gov

  13. Improving the Current Request for Records Disposition Authority ProcessMarch 30, 2015 Rachel Ban Tonkin, Supervisor, Appraisal Team 1 Laurence Brewer. Director, NRMP

  14. Introduction The OMB/NARA Memorandum M‐12‐18 Managing Government Records Directive Action C1 (MGRD‐C1) 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/records-mgmt/scheduling/expedited-faq.html

  31. Questions? Margaret Hawkins, CRM Director, Records Management ServicesMargaret.Hawkins@nara.gov (301) 837-1799

  32. Federal Records Centers Program National Transfer and Disposition Program BRIDG March 30, 2015

  33. National T&D Team Teams and Roles • Scott Roley • Assistant Director for Operations (T&D) • Russell Loiselle • National T&D Coordinator • Acting TIL Coordinator • Patrick Weigel • National Disposition Coordinator • New to the Team • Catherine Nolan • Michael O’Connor • Stephanie Montgomery

  34. National T&D – Services and Roles

  35. NT&D Planning Priorities, 2013-2015 • ARCIS disposition authority updates • Disposition processes • Permanent, unscheduled and “other” records • Disposal backlog • Frozen records

  36. NT&D Planning Priorities, 2013-2015 • ARCIS disposition updates • Disposition processes • Permanent, unscheduled and “other” records • Disposal backlog • Frozen records Tobacco Industry Litigation (TIL) lift

  37. 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

  38. Disposal Review Report

  39. TIL Disposal

  40. Disposal Process • Vision • Remote process through ARCIS • FRCP procedures in place • Agency “To Be” • Simplify process, hold down cost, retain reliability • Validated 13001s mailed after single review • Flagged and returned approved 13001s receive full review • Agency partners in disposal • Quality review process

  41. 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

  42. Agency Profile

  43. 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-2013-0003-0001

  44. TIL-lift Plan

  45. 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

  46. 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

  47. 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 • Discuss with Account Manager

  48. 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

  49. Questions? Scott Roley scott.roley@nara.gov 206-445-4147

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