National Archives
Getting Started with HMSTraining ManualVersion 2.1July 15, 20095067300171450050673001714500IntroductionHMS Overview 3HMS Terminology 3Getting Started Logging into HMS 4Changing your HMS Password4Using your Web Browser Back, Forward, History, and Refresh Functions 5Exiting HMS 5The HMS User InterfaceHMS (Siebel) Application Window Components6NavigationScreen Tabs 8Link Bars 8View Tabs 8The Difference Between a Screen Tab and a View Tab of the Same Name8Records9List Applets 9Form Applets 10Common Buttons for Lists and Forms 11Records and Fields Fields and Field Controls 13Working with a Single Selection Field 14Working with a Multi-Selection Field 14Common Tasks Saving Data 17Canceling Changes 17Using Record Hyperlinks 17Resizing Columns 18Organizing Columns in a List 18Sorting Records in a List 20Introduction to QueriesCreating, Executing, and Saving Queries 23Query Operators 24IntroductionHMS OverviewHMS (Holdings Management and SOFA) is an integrated technology platform designed to support the physical management of permanent, hard-copy archival records in the custody of NARA. HMS combines in a single system the archival functionality currently distributed across multiple systems (both manual and automated) throughout the agency. Overtime, HMS will subsume several existing applications used to support archival work processes (e.g., the MLR, accession databases, SpaceMan, container label programs, and other tracking databases) and integrate them in the single user interface. A key aspect of HMS is the introduction of container level control and tracking. Eventually, HMS is expected to support most work processes for archival holdings including accessioning, processing, relocation, holdings maintenance, conservation treatment, reformatting, and risk assessment.HMS will replace several existing applications and tools used for archival processes (see the figure below).Legacy System MapNew Terminology While terms in HMS may be new to you, what they mean is not. Some key changes are given below for your reference. What is a Record Entry?A record entry in HMS is equivalent to a MLR entry. What is an Asset?In HMS an asset will primarily refer to a container, but can also be used to designate a folder or item. What does Availability Status mean?Availability Status shows whether the record entry or asset can be expected to be on the shelf. If a record entry or an asset is Unavailable, then this status will give you the reason.Getting Started Logging into HMSHMS Login ScreenTo log in to HMS: Open Internet Explorer (web browser).Enter the web address to navigate to HMS. A login screen (as shown in Figure?above) appears.Enter your User ID and Password. Click the arrow button. After you login to HMS, your home page appears with a welcome message and may show additional applets (frames) depending on your business unit and role. Changing Your HMS Password To change your password for HMS: At the top of the HMS screen, click the View menu.Select the User Preferences option.Enter your new password in the Password field.Then re-enter your new password in the Verify Password field.Click the button. Using your Web Browser Back, Forward, History, & Refresh FunctionsTo navigate back and forward in the HMS application, you can click your web browser's back () and forward )buttons. To find screens and views you recently accessed in your HMS application, your web browser's history function ().To refresh data in HMS, it is recommended that you use Siebel query functionality. First click the button, then click the button. Exiting HMSDo not close the browser window (‘X’ button on top right corner) to exit the HMS application. To exit the HMS application:From the application-level menu, choose File.Then choose Log Out. Then close your web browser. The HMS User Interface The figure on the following page shows the main elements of the HMS application window.The application-level menu is located in the upper left corner of the application window. Each menu option lets you perform a task. The Siebel application toolbar appears below the application-level menu. The left part of the toolbar provides access to frequently used tools such as the Site Map. You use the right part of the toolbar, to find information in HMS. The tools available on the application toolbar are described in Table?1.Application Toolbar ControlsControlNameDescriptionSite Map buttonDisplays the site map.Barcode buttonLets you upload a barcode file. Reports buttonLets you access reports for the screen you are working in.New query buttonLaunches a new query.Execute query buttonExecutes a query after you have defined query criteria.Search buttonActivates the Search Center, which allows you to search and find records within HMS.The application is organized into screens. Each screen covers a broad topic. Views exist within screens and can contain lists, forms, and sub-views. A list consists of multiple records, presented as rows and the fields organized as columns in the list. A form shows the details for an individual record.HMS Application Window ComponentsNavigating the HMS Interface Screen TabsYou access a screen by clicking the related screen tab, such as Accessions, Record Entries, or Assets, or by using the Site Map. An active screen tab appears in a different color. You can use the visibility filter (as shown in Application Window Components figure) to access a different set of records by filtering records in a screen, based on your role within HMS. Link BarsScreens contain sets of information shown in views. You access views by clicking a hyperlink on the link bar. The link bar appears immediately below the screen tabs. In the link bar, the active view appears in bold text (as shown in Application Window Components figure). View TabsYou use view tabs to access additional information about a record after you have selected it. In some cases, sub-views provide access to additional information about a record. Sub-views appear directly below the information displayed for a selected view tab. The sub-view gives you more details about the record selected in the view. Not all views have sub-views. If a view has a sub-view, it appears automatically. An example of a sub-view is shown below. Sub-View ExampleThe Difference Between a Screen Tab and View Tab of the Same NameA screen tab and view tab can have the same name (e.g., work requests). A screen tab will allow you to access all records related to certain subject. For example, the Work Requests screen will allow to see all work requests that either your unit has created and/or been assigned. The Work Requests view that is part of the Record Entries screen will allow you to see all work requests that have been created for the selected record entry. RecordsA record is a collection of data organized into fields. You can select an individual record in a list by clicking any field in the record. This causes the record to be highlighted (in yellow) and adds an active record indicator (>) to the left of the record. If the field you click is editable, you can enter data in the various columns. Active Record Indicator in a List ExampleList AppletsAfter identifying the desired screen and selecting the screen tab, you must decide what set of records you want to view in the selected screen. A default set of records appears in a list below the screen tab. To navigate in a list, you use the vertical and horizontal scroll bars within the list applet. Scroll Bar LocationsVertical scroll bars are used to navigate between records in a list. Vertical scroll bars appear to the right of lists that contain more rows than can fit on the screen. Using the vertical scroll bar you can navigate to the next record, the next record set, the previous record, or the previous record set, depending on the button you click. Table 2 describes the vertical scroll bar buttons.Description of Vertical Scroll Bar ButtonsControlDescriptionGo to previous record set.Go to the previous record.Go to the next record. Go to next record set. Horizontal scroll bars appear at the bottom of lists that contain more columns (or fields) than can fit on the screen. Use the horizontal scroll bar to move through all the columns currently being displayed.Every list has a show more button or a show less button in the top right corner. Clicking the show more or show less button allows you to see more or fewer records.When a list is collapsed, you can click the show more button to expand it, as shown in Figure?below. When a list is expanded, you can click the show less button to collapse it, also shown in Figure?below. 5219700177800 Show Less Button52197001778001905000114300 Show More Button1905000114300Show More Button and Show Less Button ExamplesForm Applets When you select a record in a list (on the default view of any screen), you will see a form below that contains details for the record you selected (as shown in Figure?below). A form displays the fields of a single record.Example FormYou can use the record navigation buttons (as shown in the figure above) at the top right of each form to navigate between records in a list. When you use the record navigation buttons in a form, you are navigating to the next record or the previous record.If you have permissions to edit the information in a form, you can make edits directly in the mon Buttons for Lists and FormsThe buttons described below appear at the top of all lists and forms. Common Buttons in Lists and FormsControlDescriptionThe menu button provides access to a menu of actions that apply to the active form, list, or a selected record in a list. Using the options in the menu, you can perform actions such as copy, edit, delete, and advanced sorting.NOTE:? If you right-click in a form or a list you can access the same menu of actions provided by the menu button in that form or list.Lets you create a new record. In a list, clicking this button inserts a new, empty row at the top of the list so you can create a new record. In a form, clicking this button displays a form with empty fields that you can fill in to create a new record.Lets you define and launch a query in a form or list.Individual Exercises # 1-292099-190499-292099-190499Identify and list the screen tabs you have in HMS. Navigate to the Work Requests screen. Identify and list the link bars you see below the screen tab. Also, identify the applets and their type on this screen. Navigate to the Work Requests screen. Identify and list the view tabs that you see.Navigate to the Work Requests screen. Highlight any record, and then navigate to the Selected Assets view.(a) What is the risk level for the assets? (b) Click the Work Requests link bar. Where does this take you? (c) What is Created Date for this work request?Using HMS, how would you see a list of all work requests assigned to or initiated by your unit? Which screen tab would you begin with? Would you need to select a view tab? If so, which?Using HMS, how would you see a list of assets associated to a work request? Which screen tab would you begin with? Would you need to select a view tab? If so, which?What is the difference between the lists of work requests you found in the previous two exercises?On the same screen, within the form applet, where do you see the Query button? Identify the buttons to the left and right of the Query button (if any).Take-Back Exercises:Navigate to the Record Entries or Work Requests screen. On the main view, how many records/rows are shown within the list applet when you click the ‘Show More’ button? Now, click on the ‘Show Less’ button. How many rows does the list now show?Records and FieldsFields and Field ControlsEach record consists of multiple fields. For example, an accession record may contain the following fields: accession number, record group number, or archival unit. Fields can be editable or read-only. A read-only field displays as a grayed-out field and does not allow any editing. Click an editable field to enter or edit information in the field. Lists and forms contain field controls (see Table 4) for adding data. Required fields in a record contain a red asterisk (*), as shown in example below. Required fields must be filled in before you can save the record.Required Field ExampleHMS Field TypesField TypeDescriptionText field8382003810083820038100A text field allows you to type text directly into the field. You can click in the field and begin typing.Text field with pop-up Pop-up text fields allow you to enter long texts in a pop-up windowCheckbox □Click the box next to a field to select or clear the check box. When you click an empty box, a check mark appears in the box. If you click a box that is selected, the check mark disappears.Drop-down list A drop-down list allows you to click a down arrow button to the right of a field to select from a list of available values.Selection fields Used when you need to select from a list of associated records or you need the capability to select multiple values from a list.Working with a Single Selection Field A single selection field, also known as a pick applet, will allow you to associate the selected record with another related record within HMS. For example, when working with a record entry, you may need to tie this to a record group or collection. The selection field allows you to associate the record entry to the relevant record group. To use a single selection dialog box ():Click the single selection button () in the desired field. A single selection dialog box pops up in new window. In the dialog box, locate and select the record you want to associate. To find records in the list: The scroll bars operate as described previously. You can use the Find/Starting With capability. To use the Find/Starting With capability, first select the column you want to search against in the Find drop-down list. Then, enter a few characters in the Starting With field and click the button. You can select a record from the result set. You also have the option of using the Query functionality (as described in a subsequent section). Click the button. (Note: If you do not see the OK and/or Cancel buttons within the pick applet, expand the box diagonally so that these two buttons are visible)Working with a Multi-Selection FieldA multiple selection field will allow you to associate the selected record with multiple values or records within HMS. For example, when working with a record entry, you will need to track the media type(s) for that record entry. The selection field allows you to associate one or more media types to the record entry. To use a multiple selection dialog box ():Click the multiple selection button () in the desired field. A multiple selection dialog box appears. In the dialog box the desired value(s) in the left-hand box. Click the button and the value(s) will be added to the ‘Selected’ box on the right.Click the button. (Note: If you do not see the OK and/or Cancel buttons within the multi-selection dialog box, expand the box diagonally so that these two buttons are visible)Individual Exercises # 2-292099-495299-292099-495299Navigate to either the Work Requests or Record Entries screen for the following exercises. Take-Back Exercises:Identify the required fields on the form applet.Do you have permissions to edit any fields? If so, name three.Identify and locate an ID field (hint: Record Entry ID or Work Request ID). Why is this field read-only?Common TasksSaving DataWhen you are finished editing or adding a record in a form or a list, you can save your changes using several ways:Click the button, then select the Save Record option. Use the keyboard shortcut CTRL+S (on your keyboard, hold the Control key and S key simultaneously). Canceling Changes You may find that you need to cancel edits you have made to a record before you save it. You can undo your edits to a record only if you have not saved it yet. You can cancel edits in a form or a list in several ways: Click the button.Click the button, then select the Undo Record option. Use the keyboard shortcut CTRL+U (on your keyboard, hold the Control key and U key simultaneously).Using Record HyperlinksA hyperlink or drill-down provides one-click access to detailed or additional information for the identified record. For example, when an ID field is displayed in a list, it is shown as a blue hyperlink. These hyperlinks allow you to go directly to more detailed information about the record. Record Hyperlinks ExampleResizing ColumnsYou may find that you need to alter the width of a column to view data better. To resize columns:1143000114300011430001143000Place the cursor over the column header divider. A resize arrow appears . 10160101016010Click and drag the column divider to the right to widen the column, or to the left to narrow the column. Resize Columns ExampleOrganizing Columns in a ListA list consists of many columns of data (or fields), some of which may not be displayed on the screen. You can add, remove, and rearrange the columns to suit your preferences by using the columns displayed feature.To organize columns in a listIn a list, click the button, and then select the Columns Displayed option. The Columns Displayed dialog box appears. If a column is in the Available Columns list, then it is currently hidden. If a column is in the Selected Columns list, then it is currently displayed in the list. Columns Displayed Dialog BoxSelect one or more columns in one of the lists (Available Columns or Selected Columns). Hold the CTRL key to select multiple columns. Use the buttons between the Available Columns list and the Selected Columns list to show or hide the selected columns. The following table describes the use of each button.ButtonDescriptionMoves the identified available column(s) to the bottom of the Selected Columns list.Hides identified selected columns (moved to the Available Columns list). Moves all available columns to the Selected Columns listHides all columns Select a column in the Selected Columns list and use the column-ordering buttons to the right of the Selected Columns list to change the order in which the columns appear in the list. The following table describes the use of each button.ButtonDescriptionMoves the selected column down one position in the Selected Columns list. This moves the column to the right in the list you are modifying.Moves the selected column up one position in the Selected Columns list. This moves the column to the left in the list you are modifying.Moves the selected column to the bottom of the Selected Columns list, making it the right-most column in the list you are modifying. Moves the selected column to the top of the Selected Columns list, making it the left-most column in the list you are modifying. Click the button. Any changes made to which columns are displayed and their order will become your new defaults. Note: in the Columns Displayed dialog box allows you to reset all list columns and sizes to the original order . By clicking this button, you will lose all of your customized display of list columns for this list applet. You can also drag and drop columns in a list applet to reorder them. To drag and drop columns:Click and hold the column header. Drag the column header to the desired position. A red line will identify the column’s new position. Release the column header to fix the position. This will save these changes only for this session. To make the reorder permanent, click the button, select the Columns Displayed option, then click the button. Drag & Drop Columns ExampleSorting Records in a ListYou can sort the records in a column of a list in either ascending or descending order. The active sort order of a column is shown in the column header: a full triangle pointing up, means the data is sorted in ascending order on the values in the column; a hollow triangle pointing down, means the data is sorted in descending order on the values in the column. To sort on a single column in ascending order, click the column header of the column by which you want to sort in the list. To sort on a single column in descending order, first sort on the column in ascending order by clicking the column header of the column, then click the column header again. Sort ButtonsIndividual Exercises # 3Navigate to the Work Requests screen. Change the columns displayed and column sizes as required below:-292099-495299-292099-495299Hide all columnsMake the Work Request ID, Work Request Type, Status, Assigned Unit, Created By and Created Date columns visibleMove Project Name next to Work Request TypeMake Created By the first column in the listMake Assigned Unit the last column in the listSave the above changesIncrease the size of the Project Name column.Undo all changes made in Exercises 1 and 2 (Hint: Reset Defaults).Select one of the work request records from the list that has status as ‘New’ and change the status to ‘Complete’. Save the record.Select another work request record by scrolling down the list and update the Comments field to ‘HMS Training Exercise for menu-undo’. Now, undo or cancel the change before saving the record.Take-Back Exercises:Rearrange the columns displayed and column sizes to meet your preferences, for all of your lists within HMS (both lists on screen and view tabs) and save changes for each list.The next time you login to HMS, navigate to each screen tab and verify your changes to the columns displayed were saved. Using Queries Creating, Executing, and Saving QueriesThe query feature allows you to enter specific query criteria to find records. Operators are used within a string of text or numbers you are using to locate specific records to help define the criteria. You can use one or more criteria (i.e., enter criteria in one or more fields) to conduct your query. If you use multiple criteria, your results will contain records that meet ALL criteria. To create and run a query in a form or list:Click the button in the form or list.Enter query criteria in the blank form or list row. Click the button. To save the query criteria for subsequent use:359473415240Create and run the query (as described above). From the application-level menu, select Edit.Select the Query option.Select the Save As option.In the Save As dialog box (shown below), type a name in the Query Name field.Click the button. The saved query now appears in the Queries drop-down list.Save Query Dialog Box439483590805To find how many records are in your query’s results set, click the button (on list applet) and select Record Count option. The record count will popup. To close the record count pop-up, click the button. To modify or refine an existing query, click the button on list or form applet, and select the Refine Query option. This will automatically create a new query populated with the criteria or conditions you used in you previous query. Now, you can add more criteria or modify existing criteria and execute the query again by click the button. Query OperatorsYou can use simple query operators to define your query criteria.Query OperatorsQuery OperatorPurposeExample*Wildcard. Placed anywhere in a string, returns records containing the string or containing the string plus any additional characters at the position at which the asterisk appears, including a space. Car* finds Car, Carson, and CarbonOR, orPlaced between values, returns records for which at least one condition is true.Army or Navy will return all records that have either the word army or the word navy in the query fieldIndividual Exercises # 4Query for all work requests that are for processing (Work Request Type = Processing). Once you get the results, get the record count.-292099-495299-292099-495299Now, refine this query to find only work requests for processing that have ‘New’ status and get the record count. Again, refine this query to find only work requests for Record Group 1 and get the record count. Navigate to the Work Requests screen. Select a work request that is for preservation. Drill down on either the Record Group/Collection # or Risk Assessment ID (depending upon which you have access to). Where does this take you?(a) If you have the Record Entries screen, find one of record entry having one of the following Record Entry IDs – 7218, 7220, 7222, 7224, or 7226. Then, see all work requests associated to the record entry. Drill down on one Work Request ID. Where does this take you?Or (b) If you the Risk Assessments screen, find one risk assessment with a Risk Assessment ID ending in 4602, 3134, 4739, 4608, or 1721. Then, see all work requests associated to the risk assessment. Drill down on one Work Request ID. Where does this take you?Take-Back Exercises:Query for all Record Entries that have the term ‘vietnam’ in the Record Entry Name. (Hint: user wild card *)Refine the above query to narrow the list to get Record Entries for Record Group 0059. How many entries do you see now?Holdings MaintenanceUser GuideVersion 1.0June 9, 20095067300171450050673001714500Holdings Maintenance Activities 5054600166370050546001663700Overview 3Pulling Assets 4Printing Container Labels 8Assigning a Location to a Record Entry10Re-shelving a Record Entry15OverviewA key aspect of HMS is to track the changes to holdings over time. This includes tracking holdings maintenance done to containers. HMS has been designed to support the following holdings maintenance activities:Printing pull slipsUpdating record entries to document completed holdings maintenanceCreate and/or update existing container listsPrepare container labelsReallocate shelf locations for a record entryPrinting Pull SlipsTo print a pull slip for a record entry:Click the Record Entries screen tab.Find (using navigation and/or query functionality) and select the record you are conducting holdings maintenance.Go to the Assets view tab.Select desired assets (use CTRL+Click to select multiple assets simultaneously).From the application level menu, select Edit and the Change Records option. The Change Records dialog box will open. In the 1st field to change, select Availability Status, then enter Unavailable as the Value. ?Then click . The Change Records dialog box will close. Click the button. This will automatically re-route you to the Work Requests screen tab. Change the Work Request Type to Holdings Maintenance. To print the pull slip, click the button and select the Pull Slip option. The pull slip in PDF format will pop-up as a new window. Click the button to print a paper copy of the pull slip. Go to the stacks and pull the records while leaving the pull slip in the holdings’ current location. Conducting Holdings Maintenance on a Record EntryTo conduct holdings maintenance on a record entry:Click the Work Requests screen tab.Find (using navigation and/or query functionality) and select the work request you are working on (from printing pull slip).Go to the Selected Assets view tab.Click the button. This will automatically re-route you to the Assets view of the Record Entries screen. Create the assets associated with the record entry. This step will essentially create the container or box list for the record entry. In the form applet, complete the # of Containers, Beginning Container #, and Container Type fields. Click the button (see the figure below). This will automatically generate the container list for the record entry based on the number of containers you entered. Once completed, the Total # of Containers and Cubic Feet fields with automatically populate in the More Info view for the selected record entry. Creating Container ListsTo create a container list:Click the Record Entries screen tab.Find (using navigation and/or query functionality) and select the record you are conducting holdings maintenace.Go to the Assets view tab.For each asset (container) you can enter the contents of the container in the Description field.If you need to change the order of the containers (e.g., once box number is duplicated), you can modify the Container # and then change its sequence by using the or buttons. These will move the selected container up or down in the sequence of containers associated to the record entry. Printing Container LabelsTo print container labels:Click the Record Entries screen tab.Find (using navigation and/or query functionality) and select the record you are working on.Go to the Assets view tab.Select desired assets (use CTRL+Click to select multiple assets simultaneously).From the application level menu, select Edit and the Change Records option. The Change Records dialog box will display. Under 1st Field to Change, select Print Label from the Field drop-down. In the Value field, enter “Y”.Click . This will check the Print Label flag for all selected containers under the Record Entry. Click the button and select Container Label from the list. A PDF version of the container label will display. Click the print icon () to print the container labels. Assigning a Location to a Record Entry A location in HMS is not intended to support tracking the movement of holdings from shelf to research room and back or conservation lab and back, for instance. Rather, it is assumed that the location associated to materials is the permanent location of the materials when they are not in use for any purpose. You can, of course, modify the location if necessary. HMS locations are defined one of three ways – shelf, temporary staging, and permanent staging. A shelf location in HMS will be of the following format:archival center-facility-stack-row-level-compartment-shelfThe following table gives a brief explanation of each storage location component:ComponentDescription/CommentsArchival CenterThe location where archival materials are kept. Example: A2 for Archives IIFacilityThe building where archival materials are kept (useful if multiple buildings associated with a single location). For textual records at Archives II, the facility is 02.StackSeven (7) character identifier for the room where the archival materials are kept. For example, stack 230 in Archives II is 0000230.RowThree (3) character identifier for the row in the stack. Alpha characters will be accommodated for special designations. LevelIdentifies the shelving scheme (8th shelf vs. regular shelf).CompartmentThree (3) character identifier for the compartment in the row. ShelfTwo (2) character identifier for the shelf in the compartment. A staging area in HMS represents an “undefined” space (e.g., a room or loading dock) that does not conform to the shelf location format. A staging area can be considered temporary (not a long-term storage solution) or permanent (long-term storage location). It is important to note that staging areas will be used to denote off-site storage in HMS during the initial operating capability (IOC) phase. You can identify available space in HMS either by searching for available space or picking a specific, pre-defined location. Searching for Available Space To search for space for an accession: Click the Record Entries screen tab to begin the task.Click the Space Allocation view tab. Click the button in the Space Allocation form. The space allocation form will become editable. In the form, complete the following fields. FieldDescription/CommentsLocationSelect either shelf or a staging area. A staging area represents unstructured storage space (which includes, but is not limited to, any off-site locations where materials are stored). ContiguousCheck if you want to search for contiguous space.ReservedCheck if you want to search against space that has been reserved for Record Groups.VolumePre-populates based on the cubic feet of the record entry.Storage PreferenceSelect the type of storage environment needed for the record entry from the pick list.Archival CenterDefaults to the logged in user’s archival center.FacilityEither enter 02 or click the to pick A2-02. StackRequired – Either enter the stack (7 characters; e.g., 0000250) or click the to pick the stack you wish to search for space in.RowOptional – Either enter the row (3 characters; e.g., 035) or click the to pick the row you wish to search for space in.Level IndicatorGenerally select 1 for standard shelving. Select 2 to denote “8th” or “00” shelf.NOTE: If a field has a red asterisk (*) beside it, then you must enter a valid value in that field in order to save the record. Click the button in the Space Allocation form. The system will then display the best option meeting the specified criteria in the Options applet below the form. Select the best appropriate option from the results set, by clicking the checkbox in the Select column in the Options applet. Click the button. The assignment complete confirmation will pop up. Click . The selected space locations will populate under the Assigned Location column in the Assets list (list applet at the bottom of the screen) and each asset’s Shelved Status will be Draft. This space is now assigned (i.e., held) for this record entry. Browsing to Pick a Specific LocationTo browse for available space:Click the Record Entries screen tab to begin the task.Click the Space Allocation view tab. Click the View Available sub-view tab. Click the button. The Allocation Parameters form becomes editable. In the form, complete all required fields (and any other parameters you would like to set). FieldDescription/CommentsLocationSelect either shelf or a staging area. A staging area represents unstructured storage space (which includes, but is not limited to, any off-site locations where materials are stored). ContiguousCheck if you want to search for contiguous space.ReservedCheck if you want to search against space that has been reserved for Record Groups.VolumePre-populates based on the cubic feet of the record entry.Storage PreferenceSelect the type of storage environment needed for the record entry from the pick list.Archival CenterDefaults to the logged in user’s archival center.FacilityEither enter 02 or click the to pick A2-02. StackRequired – Either enter the stack (7 characters; e.g., 0000250) or click the to pick the stack you wish to search for space in.RowOptional – Either enter the row (3 characters; e.g., 035) or click the to pick the row you wish to search for space in.Level IndicatorGenerally select 1 for standard shelving. Select 2 to denote “8th” or “00” shelf.Click the button in the Allocation Parameters form. The system will then display a list of all available blocks of space within the parameters you set in the Available Blocks applet. Select the desired block from the results set in the Available Blocks applet. Then click the button. In the Options applet click the checkbox in the Select column. Select the best appropriate option from the results set, by clicking the checkbox in the Select column in the Options applet. Click the button. The assignment complete confirmation will pop up. Click . The selected space locations will populate under the Assigned Location column in the Assets list (list applet at the bottom of the screen) and each asset’s Shelved Status will be Draft. This space is now assigned (i.e., held) for this record entry. If the materials have already been shelved in this location, then click the button to finalize the location assignment. Removing Locations Assigned to a Record EntryIf changes are required, click the button. This will make the assigned space available again. You can then restart the process to assign a new location to the record entry. Re-shelving HoldingsOnce the assets have been re-shelved, you will need to update the assigned location for all impacted assets, using procedures below:Click the Record Entries screen tab to begin the task.Find (using navigation and/or query functionality) and select the record you are working on. Click the Space Allocation view tab. Click the button in the application toolbar. Select the Record Entry – Assets report from the list of options. The report will pop up in a new window. Click the button to get a hardcopy of the report. Using the report, locate the assigned shelf location in the stacks and shelve the records. If no changes are required, click the button. Each asset’s location automatically shifts from Assigned to Shelved in the Assets list applet. The assets’ Shelved Status also automatically transitions to Shelved. Once shelved, go to the Assets view tab.Select desired assets (use CTRL+Click to select multiple assets simultaneously).From the application level menu, select Edit and the Change Records option. The Change Records dialog box will display. Under 1st Field to Change, select Availability Status from the Field drop-down. In the Value field, enter Available.Click . The availability status for all assets associated to the record entry will change to Available. HMSProcessing Standard Operating Procedures _________________________________ _________________________________Prepared by:HMS Operating Procedures Working GroupNational Archives and Records AdministrationSeptember 6, 2013 Version-1.1Document Change LogHMS Processing Standard Operating Procedures Change LogVersionDate of ChangeSections Impacted Summary of ChangesChanged by1.19/6/13/13Added language about the requirement for checks by local managers.Updated name of risk assessment to needs assessment. Add one NARA-wide definition for context.Updated Philadelphia’s definition of subgroup.Revised formatting.Allison Olson NARAProcedures for Processing RecordsINTRODUCTIONProcessing is the means by which we achieve intellectual and physical control of records, with the ultimate goal being the completion of an approved series description within the Archival Research Catalog (ARC)/ Online Public Access (OPA) to facilitate access to those records by researchers.Local?managers or appointees do?regular?spot checks of?the?processing data in HMS at a minimum quarterly.?These checks include?reviewing the related needs assessment data, except in the Washington DC Area and National Personnel Record Center, where?Preservation Programs will?review the needs assessment data. The local managers or appointees also review in PMRS monthly the processing data including the holdings that received all preservation action to check for reasonableness.??Managers, appointees, and Preservation Programs will maintain a record of these checks.?PROCESSING PROCEDURESIdentify and locate the body of records to be processed. (HMS)Use the Query function in HMS to find the Record Entry (or Entries).Open a blank query in HMS.Enter any of the following parameters:Beginning or Ending LocationARC IDComments Record Group/Collection #Record Entry NameFinding Aid and Entry #Record Group/Collection Title Sub Division/Sub GroupFrom the query results, choose the applicable entry/entries.If the Query is unsuccessful, use the Search function. This helps you locate record entries using associated criteria.Open the search window in HMS.Enter any of the following parameters:Legacy Numbers (Accession #, Lot File #, FRC Transfer #, etc.)Microfilm publication # Record Group/Collection #Record Entry NameFinding Aid and Entry #Record Group/Collection TitleSub Division/Sub GroupFrom the query results, choose the applicable entry/entries.Once the records have been identified, note down the assets’ locations. The start and end locations appear on the main record entry screen. Check the assets screen to determine if there are multiple locations.Locate the accession dossier, the SF 135, or any other finding aids that may be available.Survey the records to determine the following: CreatorDatesArrangementPhysical condition.For more details see the “NW Processing and Description Workshop Handbook” or reference the SOPs for your facility. Pull the records. (HMS)To pull all assets in a Record Entry:In the main Record Entry view, change the Availability Status to Not on Shelf.From the main Record Entry view of the applicable record entry, click the Create Work Request Button.Within the Work Request screen, click the Reports icon, and choose Pull Slip. This will generate a Pull Slip for all the assets in the Record Entry.Print two copies of the Pull Slip. Go to the stacks, and pull the assets. Leave one copy on the shelf in the assets’ space, and keep the second copy with the assets themselves.To pull a selection of assets in a Record Entry:Go to the Assets view of the applicable Record Entry, select all desired assets.Use the Change Records function to change the Availability Status of the selected assets to Not on Shelf.From the Assets view of the applicable record entry, click the Create Work Request Button.Within the Work Request screen, click the Reports icon, and choose Pull Slip. This will generate a Pull Slip for the assets appearing in the Selected Assets Table.Print two copies of the Pull Slip. Go to the stacks, and pull the assets. Leave one copy on the shelf in the assets’ space, and keep the second copy with the assets themselves.Verify the arrangement and adjust if necessary. Re-house and folder the records (if necessary). See the Holding Maintenance Guidance Manual.Identify needs and address as appropriate.Update HMS to reflect processing actions completed. (The steps vary between offices.)For the Washington Area: Create the Processed Record Entry in HMS.Query for former Record Entry in Record Entries Screen.Highlight correct record entry.Click the Process Record Entry button.Click the Create button. (Washington Area-Using the Process Record Entry button creates permanent links in the Related Record Entry tab for each record entry. The former record entry will appear in the processed record entry and the processed record entry will appear in the former record entry.)Navigate back to the former Record Entry.Change Status to Inactive.Modify details in new Record Entry.For the Field Offices: Create or Update the Processed Record Entry in HMS as needed.Query for former record entry in Record Entries Screen.Create the new Record Entry. Mark for deletion the old Record Entry that was a new accretion. (If the old record entry was sent from another facility, has related work request, risk assessment or pull slip, do not delete, instead make it inactive. Follow instructions for the Washington Area to relate it to a new record entry.)Modify details in the new Record Entry.Update Record Entry Name and Context Information. (Applies to all of NARA.) Record Entry Name It is the title that appears in ARC/DAS. If the Record Entry Name is not the ARC/DAS Title, enter the HMS Record Entry Name in ARC/DAS in the Other Title field.Examples: Unclassified Central Subject FilesRestricted and Confidential General Administrative FilesContext InformationThis is the most recent Creating Organization from ARC/DAS. Do not include abbreviations. Update when Creating Organization changes due to an accretion.Examples:Department of State. U.S. Embassy, France. Paris; U.S. Embassy, FranceDepartment of the Navy. U.S. Fleet. U.S. Pacific Fleet. Submarines, Scouting Force. Submarine Squadron FourUpdate Sub Division and Sub Group. (The definition varies by location. See table.) **** The Record Entry Name, Sub Division, and Sub Group are the only fields that show up on the labels. The Context Information field does not show up on the label. All fields are free form, but they allow a limited number of characters in each data element. When using HMS to search for titles, creating organizations, etc. please use the Search capability, which will search all four fields simultaneously.Location DefinitionWashington Area, Alaska, Atlanta, Fort Worth, Riverside, Seattle, Denver, San Bruno, St. Louis,Sub Division and Sub GroupThis should include the higher hierarchy and lower hierarchy of the creating organization.Examples:Sub Division: France; Sub Group: U.S. Embassy, ParisSub Division: U.S. Pacific Fleet. Submarines, Scouting Force; Sub Group: Submarine Squadron Four.BostonSub Division and Sub Group Piece of the full creatorKansas CitySub Group Geographic reference if applicable. PhiladelphiaSub GroupThis is the Series Group. Sub DivisionThis is the Division. Examples:Philadelphia MLR fieldsHMS fieldsRG 21RG 26DivisionSub-DivisionCharlottesvilleIndian River InletSeries GroupSub-groupBankruptcy Act of 1898Life-Saving ServiceSeries TitleRecord Entry NameDischarge of BankruptsLog Books New YorkSub Division The second highest level of the Creator.Sub Group The third highest level of the Creator or other sub-grouping of the records.? Examples:Creator: RG004: U.S. Food Administration. New York Food Administration. Office of the Federal Food Administrator.Context Information would be "New York Food Administration".The Sub Division would be "Office of the Federal Food Administrator".There is not another level of hierarchy; however, it might be useful to note "New York City (District 1)" in Sub Group. In the case of RG021, the Sub-Group is the type of records (i.e. Criminal Records, Civil Records, Naturalization Records, etc.) of which the series is a part.Enter or update Finding Aid and Record Entry Prefix and Suffix. (The definition varies by location. See table.) LocationDefinitionWashington Area ArchivesFinding Aid and Record Entry Prefix and SuffixWhen processing a record from a UD record entry to a newly processed record, change the Finding Aid Prefix to P and assign the next Record Entry Prefix (number) using the Next Record Entry Prefix button.If updating or modifying PI or A1 record entries, keep the existing Finding Aid Prefix and Record Entry Prefix. If necessary, assign a new P number.PhiladelphiaFinding Aid When creating a new record entry assign the Finding Aid.For RGs 21 and 578, Philadelphia uses state codes/numbers, which are Delaware = 10, Maryland, 24, Pennsylvania, 42, Virginia 51 and West Virginia 52. (District of Columbia/Georgetown is 11; New Jersey is 30 in other record groups)Examples:Sub-GroupLetterDivision#Finding Aid VirginiaWestern DistrictCharlottesvilleHMS 5100W085100W08 (HMS finding aid)Group #Sub-Group #Series#Series LetterRecord Entry # Bankruptcy 1898 BankruptcyDischarge of BankruptsHMS03040000400 or 0A03040000400 or 0304000040ANew YorkFinding Aid The data for the Finding Aid field migrated from the Local Identifier field in the MLR and is used to note the corresponding number designation in The Guide to Federal Records.? Example:024.8.3.1:024 - Records of the Bureau of Naval Personnel8 - Records of Field Establishments3 - Records of the Indoctrination School for Officers, Fort Schuyler, NY1 - the first series in RE-NY's holdings for this designation a designation does not exist in The Guide to Federal Records for a certain creator, the closest hierarchy was used with the prefix NRAAN (formerly) and RE-NY (currently) to indicate that the suffixes of the number code were created locally by the office.? Example:NRAN.027.5.7.1.1027 - Records of the Weather Bureau027.5 - Records of the Weather Bureau027.5.7 - Records of the Division of Station Facilities and Meteorological Observations and its predecessorsThat is as low as the hierarchy goes in the Guide.? From here on out, the designation was created by the office.NRAN.027.5.7.1 - Records of the Ithaca (New York) Weather StationNRAN.027.5.7.1.1 - first series in RE-NY's holdings for this series. other locationsUpdate following local procedures.Enter or update the following data elements. (Applies to all of NARA). Inclusive Start Date and End DatePut the inclusive start and end date of the series in this field. Do not put dates in the Record Entry Name. Put information about coverage dates, date gaps, etc. in the Notes field. See the Comments/Notes section for more information.Classification StatusChoose the appropriate option. See Appendix A Guide to Access Restrictions in HMS.Access RestrictionChoose the appropriate option. See Appendix A Guide to Access Restrictions in HMS.Specific Access RestrictionChoose the appropriate option(s). See Appendix A Guide to Access Restrictions in HMS.General Record TypeLocate the accession dossier, the SF 135, or any other finding aids that may be available. Choose the appropriate option(s). See the General Record Type Authority list for more information. General Media TypeChoose the appropriate option(s) See the General Media Type Authority list for more ments Use Comments when discussing physical aspectsExamples: Missing Boxes - “Box 5 was missing as of September 2009.”Odd locations, winging, stacked boxes - “Box 65 is located at the end of this series.”Offsite storage – “This series is now located at Lenexa.”NotesUse Notes when discussing intellectual aspects.Examples: Gaps in dates – “This series does not contain records for 1960-1970.”Microfilm/reproduction issues – “Boxes 5-10 are microfilmed.”Former entries vs. new entries/processed entries – “This entry was formerly entry UD 7.” “Box 5 of this series was formerly Box 8 of entry UD 12.”Expanding upon Comments field – “Boxes 1-200 are located in Lee’s Summit at the following locations _____”***If using the Notes Tab, include “See Notes” in the Comments field to signal users to check the Notes Tab.Archival UnitChoose appropriate option.Screening Required? / Screened:Fill in when appropriate.***If you have any questions about these fields, please see your supervisor or team lead. Create and update assets.Access Assets screen through Record Entry ID link.Fill in Number of Containers, Beginning Container, and Container Type.Click the Create Assets button.Rearrange sequence of containers if necessary using arrows.Create container and/or file unit as appropriate (optional). (HMS)If doing container list:Click in Description column and type container contents.Folder A THRU Folder B.Repeat for each asset.If doing file units (folder list):Click on Asset ID for selected container.In form applet, fill in # of Folders and Beginning Folder # field.Click Create folders button.Enter folder information in Description field.Click Update Asset Desc button to populate description field at asset level.To export container list to Word (optional).Go to Reports icon.Choose Container list option.Copy and paste PDF into Word.Create the series description in ARC/DASEnter National Archives Identifier into the ARC ID data element into HMS. (HMS)After entering ARC ID number, click the Processed? box.Change the former record entry’s Status to Inactive.Create labels. (HMS)To print container labels for all assets in the applicable record entry:Within the Assets view of the Record Entry, select all assets in the entry.Use the Change Records function to change the beginning position of the label.Click the Reports icon and choose the Container Labels report.Print labels and place on boxes. To print declass labels for all assets in the applicable record entry:Within the Assets view of the Record Entry, select all assets in the entry.Use the Change Records function to change the beginning position of the label. Click the Reports icon and choose the Container Labels Declass report.Print labels and place on boxes. Locate space and shelve records.Use either Space Allocation, Manual Location, or Barcoding to shelve assets. See Asset Location tips for details.Finalize the ARC/DAS description.Create the ARC tracker and send the series description and file units (if applicable) to the ARC point of contact (POC), the reference POC, and the team leader if applicable.Enter the needs assessment data into HMS. See HMS Needs Assessment Standard Operating Procedures. (HMS)Complete HMS records entry (make it available). (HMS)Change Availability Status to Available.Print HMS record entry detail report for accession dossier (optional).Click Reports Icon.Select the Record Entry Detail.Print the ARC/DAS series description for accession dossier (optional).Appendix A Guide to Access Restrictions in HMSDescription of SituationClassification StatusCUI (Y/N/M)Access RestrictionSpecific Access RestrictionScreening Required CheckboxAsset Level Classification StatusAsset Level Access RestrictionAsset Level Screening Required CheckboxAccess Restriction LabelEntire series is classified and some or all boxes contain CUIClassifiedY - allRestricted - FullyFOIA b(1)FOIA b(3) if RD/FRDSpecific CUI access restrictions NClassified Restricted - FullyNUse Do Not Pull Labels on all boxesY - partUse Do Not Pull Labels only on boxes with CUIEntire series is classified, no CUI presentClassifiedNRestricted - FullyFOIA b(1)FOIA b(3) if RD/FRDNClassifiedRestricted - FullyNn/aEntire series is classified, CUI may be presentClassifiedMRestricted - FullyFOIA b(1)FOIA b(3) if RD/FRDYClassifiedRestricted - FullyY (only assets that may contain CUI)Use CUI Screening Required Labels on only any boxes that may contain CUIPart of the series still has classification issues, all boxes contain CUIDeclassified in PartY - all Restricted - FullyFOIA b(1)FOIA b(3) if RD/FRDAdditional specific CUI access restrictions NAssets should be marked Declassified in Full, Declassified in Part, or ClassifiedRestricted - FullyNUse Do Not Pull Labels on all boxesPart of the series still has classification issues, some boxes contain CUIDeclassified in PartY - partRestricted - PartlyFOIA b(1)FOIA b(3) if RD/FRDAdditional specific CUI access restrictions NAssets should be marked Declassified in Full, Declassified in Part, or ClassifiedAssets may be Restricted - Fully, Restricted - Partly, or Unrestricted NUse Do Not Pull Labels only on boxes with CUIPart of the series still has classification issuesDeclassified in PartNRestricted - PartlyFOIA b(1)FOIA b(3) if RD/FRDNAssets should be marked Declassified in Full, Declassified in Part, or ClassifiedAssets may be Restricted - Fully, Restricted - Partly, or Unrestricted Nn/aPart of the series still has classification issues, CUI may be presentDeclassified in PartMRestricted - PartlyFOIA b(1)FOIA b(3) if RD/FRDYAssets should be marked Declassified in Full, Declassified in Part, or ClassifiedAssets may be Restricted - Fully, Restricted - Partly, Restricted - Possibly or Unrestricted Y (only assets that may contain CUI)Use CUI Screening Required Labels on only any boxes that may contain CUINo classification issues and all boxes contain CUIDeclassified in FullY - all Restricted - FullySpecific CUI access restrictions NDeclassified in FullRestricted - FullyNUse Do Not Pull Labels on all boxesUnclassifiedUnclassifiedNo classification issues and some boxes contain CUIDeclassified in FullY - partRestricted - PartlySpecific CUI access restrictions NDeclassified in FullAssets may be Restricted - Fully (boxes with CUI) or UnrestrictedNUse Do Not Pull Labels only on boxes with CUIUnclassifiedUnclassifiedAll boxes have no access or classification issues.Declassified in FullNUnrestrictedNoneNDeclassified in FullUnrestrictedNn/aUnclassifiedUnclassifiedCUI may be present in some/all boxesDeclassified in FullMRestricted - PossiblyNoneYDeclassified in FullAssets may be Unrestricted or Restricted - Possibly (only assets that may contain CUI)Y (only assets that may contain CUI)Use CUI Screening Required Labels on some/all boxesUnclassifiedUnclassified ................
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