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

5. 2013-2014 Federal RIM Program Maturity Model Project
How we got here
review was conducted
2013 a decision was made to form a FRC-NARA working group to modify the DHS RM3i model
Federal RIM Program Maturity Model Project

6. Department of Homeland Security
(Tammy Hudson and Suzanne Gill)
Department of Justice
(Jenny Plante)
Department of Transportation
(Ron Swecker)
Department of the Interior
(Ed McCeney)
Securities and Exchange Commission
(Aimee Primeaux)
NARA
(Cindy Smolovik and Stephanie Weaver)

7. Performance Levels ABSENT Little or no RIM program activity DEVELOPING
Some RIM program activity with most areas still under development
Level 2
FUNCTIONING
Consistent RIM program activity with some areas still under development; stable environment
Level 3
ENGAGED
Fully established, engaged, active environment
Level 4
EMBEDDED
Completely established RIM program that is strategically aligned and embedded agency-wide
Performance Levels

8. Organizing Principles and Elements
Management Support and Organizational Structure
Strategic Planning
Leadership and Management
Resources
Awareness
Policy, Standards, and Governance
Policy, Standards and Governance Framework
Compliance Monitoring
Risk Management
Communications
Internal Controls
RIM Program Operations
Lifecycle Management
Retrieval and Accessibility
Integration
Security and Protection
Training

9. 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

10. 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
Assessment Criteria Example

11. Summary Tab Maturity Summary
Domain 1: Management Support and Organizational Structure
Statement
Level
Score
1-1: Strategic Planning
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
Domain 1 Maturity Score:
Domain 2: Policy, Standards, and Governance
2-1: Policy, Standards, and Governance Framework
2-2: Compliance Monitoring
2-3: Risk Management
2-4: Communications
2-5: Internal Controls
Domain 2 Maturity Score:
0.8
Domain 3: RIM Program Operations
3-1: Lifecycle Management
Level 3 - Engaged
3.0
3-2: Retrieval and Accessibility
3-3: Integration
3-4: Security and Protection
3-5: Training
Domain 3 Maturity Score:
2.4
Composite Maturity Score:
1.4

12. Next Steps Making the tool available
Voluntary use by whoever wants to use it

13. Questions?
Contact

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

15. 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.

16. 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
Focus
Clearly Temporary Records
NARA is concerned with identifying and obtaining records of permanent value
Some records are clearly permanent and other records depend on their context
Clearly temporary records are generally mission related administrative and facilitative records that are not suitable for the GRS.
Benchmarking
Federal and state agencies, both domestic and international, focusing on differences in how agencies implement the records scheduling process
Most entities follow a process were someone has the final authority on the schedule
Federal procedures that permit direct reporting by agencies including
The most relevant procedure to investigate is the Delegated Examining Authority used by OPM

17. 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

18. 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
Delegated Disposition Authority
Agencies have the authority to approve some or all temporary records
Expedited Approval Process
Provide a fast track schedule process that agencies could use to identify and schedule clearly temporary records

19. 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
Modeled on the OPM delegated examining authority (hiring in the federal government).
Requires OPM training of all personnel involved in the delegated authority process
OPM conducts regular audits to ensure all regulations are being followed
Just to give you a sense of the program, the delegated examining authority has a 351 page handbook
Regular audits/inspections and recertification process would provide mechanisms for NARA to maintain in its oversight role
Delegated authority would require an application / vetting process to grant authority to an agency
Regular audits / inspections would allow for NARA oversight, and monitor changes in records management program strengths at an agency
Recertification would codify procedures for re-upping delegated authority
Scope could range from the disposition of all temporary records or limited to a small set of clearly temporary records as defined by NARA.
If the scope includes all temporary records, NARA would essentially be authorizing agencies to determine which agencies are permanent; this significantly changes NARA’s role and could require a change to the law.
Limiting the authority to clearly temporary records, would make the GRS a guidance document for agencies with delegated authority

20. 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
NARA would need the equivalent of another appraisal team

21. 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
Reasons to not pursue this option
Small volume of eligible records
OPM delegated authority in FY 2013 covered 145,097 hiring actions (transfers into agencies and new hires)
Delegated hiring authority is effect for the volume of transactions
NARA over the past three fiscal years has averaged 500 record schedules covering both temporary and permanent items; the number of individual items ranged from
GRS expansions will reduce the volume of eligible records
Many new GRS items will allow for longer retention which eliminates agencies needing to submit a request for an exempt to the GRS for longer retention
More items will be covered by the GRS
Potential limited buy-in from interested agencies because agencies would lose the legal cover of having a NARA approved disposition authority
When retention periods are challenged agencies can point to NARA as the final outside approval authority
There are those agencies that seek NARA validation of their GRS implementation as further cover for their disposition decisions
Public/staff perception of NARA abdication of oversight role
The Federal Records Act places the authority and responsibility of designating records retention and disposition to the Archivist of the United States
Resource limitations for NARA and agencies
As discussed in what a delegated authority program looks like, agencies would have the additional work of obtaining and maintaining their delegated authority including additional training and conducting and documenting their own records appraisal work
Number of eligible agencies
Presumably consistently low-risk agencies on RMSA could obtain delegated authority

22. 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
SWITCH
Builds on past work on improving the process
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

23. 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

24. 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

25. 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)

26. 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

27. Expedited Approval Process Pilot
General information plus question on records in FRC, and whether records are covered by the GRS

28. Expedited Approval Process Pilot
Laws that dictate disposition periods
Rescheduling records
Government records standardization caveat

29. 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

30. Expedited Approval Process Pilot
Types of records that are generally, but not always, appraised as permanent.
Warrant internal NARA stakeholder review

31. Expedited Approval Process Pilot

32. Questions?
Margaret Hawkins, CRM Director, Records Management Services (301)

33. Federal Records Centers Program National Transfer and Disposition Program
BRIDG
March 30, 2015
Annual appearance at BRIDG. T&D planning cycle becomes Feb. to Feb., now April!!! With TIL some items quickened but most were already planned. Essentially this is the presentation as planned last fall with TIL added

34. National T&D Team Teams and Roles New to the Team 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
Introduce NTD to audience

35. 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
Explain agency assistance & new NTD staff

36. NT&D Planning Priorities, 2013-2015
ARCIS disposition authority updates
Disposition processes
Permanent, unscheduled and “other” records
Disposal backlog
Frozen records
These are not prioritized, but listed as they’ll be covered today (the planned presentation) before….

37. 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
TIL changes things and doesn’t change things

38. ARCIS Disposition Authority Table Business Intelligence (BI) deployed
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

39. Disposal Review Report
Note GRS “!” and describe DAU invalidation project

40. TIL Disposal

41. 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

42. 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

43. Agency Profile

44. 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

45. TIL-lift Plan

46. 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

47. 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
Agency specific multi-year (likely three) to destroy the tail of the snake

48. 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
Budget or other barrier to TIL-lift disposal
Discuss with Account Manager

49. 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
No “wet signature” requirement

50. Questions?
Scott Roley

51. Gary Rauchfuss, Director, Records Management Training Program
Training Discussion
Gary Rauchfuss, Director, Records Management Training Program

52. 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

53. Future Records Management Learning Center
Course catalog
Test item/Test repository
Performance Support catalog
Task catalog
Collaboration/Knowledge Management Center
SAO
PMs
CIO/IT Staff
RL/RC
ARO
Everyone
IGs
Legal Staff
Tasks
Conduct RM Inspection
Use ERA
Complete RMSA
KA Courses
Training Courses
RM Certificate
Performance Support Tools
Other Training Resources
Collaboration Center
Education – information about RM
Training – how to do RM tasks

54. 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.

55. Focus Group Schedule
Date
Time
Target Audience
Audience Location
12/10/2014
1:00-3:00
Agency Records Officers
DC - A1 (BRIDG)
3/3/2015
Records Liaison Officers DC
3/4/2015
Outside DC
3/24/2015
Information Technology Staff
3/26/2015
3/30/2015
3/31/2015
Office of General Counsel
4/2/2015
4/15/2015
All times are eastern.
Face to face session
Virtual session
Completed session
Need more participation from IT staff and program managers
One-on-one interviews are an option

56. Points of Contact
Jill Snyder Gary Rauchfuss (301) or (301)

57. 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

58. BRIDG FY 2015 Meeting Dates
* Go to for BRIDG meeting listing
Date
Location
April 15, 2015
McGowan Theater
June 17, 2015
August 19, 2015