Post on 06-Apr-2017
The Path to Email Autocategorization
Susan LittleU.S. Access Board
Overview of the Access Board• 25 Board members
– 12 Federal members from various Federal agencies– 13 public members appointed by the President for four year terms
• 30 staff • Budget: $8,023,000 million (FY 2016)• Board meets 6 times a year
Access Board Programs• Guidelines and standards development
– Architectural Barriers Act (1968)– Americans with Disabilities Act (1990)– Telecommunications Act (1996)– Rehabilitation Act Amendments (1998)– Patient Protection and Affordable Care Act (2010)
• Technical assistance and training• Research• ABA enforcement• Rulemaking Authority
Federal Records Requirements• Managing Government Records Directive (M-12-18)
Goal 1 Electronic Record Keeping to Ensure Transparency, Efficiency, and Accountability
Goal 2 Compliance with Records Management Statutes and Regulations
Steps to Implement an Email RMA• Perform an agency-wide assessment and records inventory • Identify business processes• Bucket Record Series• Develop Work Flow (Business process)• Develop File Structure • Build queries for categorization • Develop graphic user interface (GUI) screens to facilitate staff control of system
Timeline for RMA Development• 2008: RM Contact • 2011: Purchased RMA• 2012 - RM Program Directive w/RM Handbook• 2013 - 2014: Agency survey for incoming email addresses and email keywords; Develop
email category structure based on business processes; assign email addresses/keywords to email categories
• 2015: Entered email addresses and keywords; develop email records schedule; entered email schedule categories into File Plan application; reviewed incoming emails for groups, newsletters and transitory emails and aligned them to their appropriate email category. Developed funnel approach based on email categories; tested funnel approach and revised the order in which the emails are journaled into their categories.
• 2016: Implemented on 1/2016
Agency Commitments • Financial commitment in multi-year contract to
RMA vendor• Creation of 1 FTE to manage system• Reallocation of current RM consultant’s contract
hours to reflect emphasis on development and implementation of electronic systems
An Overview: Email Autocategorization• Records Categorization Approach:
Role-based (e.g., senior agency positions) AND Content-based.
• Records Management Approach: Senior officials email automatically, permanently retained. Non permanent emails are aligned with our NARA approved email retention schedule.
• Email Records Retention Schedule: Aligned with the AB Records Schedule Capstone Plus (Based on NARA Capstone approach and email content)
Custom, text-based categorization• Role-based categorization based on email metadata
was insufficient• SQL-based queries are flexible enough to discern
context• Led to iterative process with developer, leading to
creation of GUI screens• Allows the Access Board to opt out of Capstone
Core Functionality for Email RMAs• Ability to monitor and modify system using
GUI interface• Workflow that reflects the record lifecycle
(creation, maintenance, disposition)• Flexibility to incorporate new record series
and business processes
Culling Records with Autocategorization
Email Auto-CategorizationEnvelopeJournaling
File CabinetMail iQ2
Cross-User PNR
User-Specific
PNR
Category
CategoryCategory
Category
Schemes
Schemes
Rules
Rules
Rules
Rules
Cross-User PNR
User-Specific PNR
Category Specific
CategorySpecific
VirtualFile Cabinet
Virtual File
Cabinet
Auto-Categorizer
Records Management Application (RMA)
The Access Board has commissioned a robust RMA application that provides internal controls for managing electronic documents and email messages. The RMA contains a number of applications that work together to ensure compliance.
• RMA iQ Administrator: Creates and maintains agency File Plans, Record Series and Disposition Retention Schedules.
• Analyze iQ: Assign agency records to the appropriate categories.
• RMA iQ Workplace: Enables management of records (e.g., review, legal hold, or disposition) within their assigned file cabinets.
File Plan Record Categories
Queries and Analysis
Managing Disposition
Validation/Spot Check
GUI screens added during design process
Program Screens• Category Specific• Cross User Probable Non Records (CPNR)• User Specific Probable Non Records (USPNR)
Administrative Screens• Categorized by Date• User Specific PNR Management
Program Screens
Program Screens
Program Screens
Challenges• Multiple roles for staff complicate categorization• Mapping business processes to record categories• Monitoring staff compliance with user screens• No control of local email copies – potential FOIA liability• Redefining internal procedures: RM program affects institution-
wide IT policies and requires input of General Counsel• Various IT security requirements• 508 compliance
Susan LittleU.S. Access Board
Records Officer / CIOlittle@access-board.gov