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

http://info.aiim.org/2017-state-of-information-management