This presentation shows the business processes and steps taken by the U.S. Access Board to meet the Presidential Memorandum for Email Records. You'll learn; - Good planning is essential - The time and resources required to implement these processes - Tips for obtaining senior management backing Learn about the current state of Information Management in AIIM’s latest report: http://info.aiim.org/2017-state-of-information-management

1. The Path to Email Autocategorization
Susan Little
U.S. Access Board

2. 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

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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)

9. 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

10. 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

11. Culling Records with Autocategorization

12. Email Auto-Categorization
Envelope
Journaling
File Cabinet
Mail iQ2
Cross-
User PNR
User-
Specific
PNR
Category
Category
Category
Category
Cross-User PNR
User-Specific
PNR
Category
Specific
Category
Specific
Virtual
File Cabinet
Virtual
File
Cabinet
Auto-
Categorizer

13. 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.

14. File Plan Record Categories

15. Queries and Analysis

16. Managing Disposition

17. Validation/Spot Check

18. 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

19. Program Screens

20. Program Screens

21. Program Screens

22. 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

23. Susan Little
U.S. Access Board
Records Officer / CIO
little@access-board.gov