Project Overview

1
Project Overview

• Piloting an Enterprise Approach to Electronic
  Records Management
• Dawn Bluma
• DWD Records Officer

2
What Did We Hope to Accomplish?
3
Enterprise Project Goals

• Ultimate goals of the project
• Process and structure built upon existing Records
  Disposition Authorizations (RDAs)
• Single shared repository structure for management
  of division electronic records (without
  purchasing software)

4
Enterprise Benefit

• Best Practices and Repository Design from the
  pilot will be available for any other division
  wishing to build an electronic records repository

5
Need to Solve an Immediate Business Problem

• Staff arent sure what to keep, where to find
  information they filed, where to find information
  when someone is out of the office, or who has the
  original final document

Now where did I put that file?
6
Need to Solve an Immediate Business Problem contd

• The vast majority of todays records are born
  electronic
• Staff are inundated with shared documents and
  e-mail
• Multiple copies exist on the servers of just
  about everything

7
The File Cabinets Days are Numbered!
8
Why Build the Records Repository on the DWD LAN?

• The files are already thereeverywhere...

but they are not easy to find!
9
Metadata is the Key

• Butits missing!
• A cultural change
• needs to occur

10
What Did We Include?
11
Project Scope

• Four Records Series
• Administrators Memos
• Contracts
• Policy Memos
• Complaints
• Documents, spreadsheets, diagrams
• E-mail as relevant supporting documentation to
  the complete official record

12
Accomplished Division Project Goals

• Provided
• Clear definitions to enable staff to easily
  classify a document as a record
• Structure that supports maintaining records in an
  organized recordkeeping system
• Controlled access to records so they are
  available for active use in support of DWD
  business

13
Accomplished Division Project Goals

• Provided
• Direction on the disposal of records at the end
  of their required legal retention period
• Transfer requirements/timing for records
  scheduled to go to the State Historical Society
  and in what form/format

14
Pilot Documents
15
Project Charterhttp//dwdworkweb/asditprj/bits_pm
ep/records_mgt.htm

• Provides Project
• Description and Background
• Purpose/Goals/Objectives
• Scope
• Roles/Responsibilities
• Risk Analysis
• Schedule
• Communication Plan
• Budget

16
DWD Information Repository Structure

• Built on the following premises
• Staff create electronic records daily in the
  normal course of work
• Staff need to find the information they need
  efficiently and with certainty
• We need to better manage our information

17
DWD Information Repository Structure contd

• Staff need to preserve information that
• Documents the department business processes
• Provides evidence of past events, transactions,
  and decisions.
• Electronic records need to be readily available
  for other important uses and decision making

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DWD Information Repository Structure contd

• Repository requirements
• A single, shared, searchable repository to store
  the official copy of an electronic record and its
  supporting documentation
• Records are secured, read-only
• Managed by division records managers

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DWD Information Repository Structure contd

• Repository requirements
• Records contain mandatory metadata elements
• A defined naming convention is followed for
  folders and file
• Versioning is used for Microsoft Word documents

20
Electronic Records FilingDesktop Organization
Best Practices

• Administrative Rule 12 Requirements
• Elements of a complete record content, context,
  structure
• LAN drives as on-line file cabinets
• Electronic Records Life Cycle
• File naming challenges and recommendations
• Records Destruction/Transfer information
• Records Terms Glossary
• Desktop Organization Best Practices

21
DWS Electronic Records Management System Pilot

• Directory Structure Detail
• Level 1 - S\DWS
• Level 2 - DWS_ENTERPRISE
• Records Management
  System
• Level 3 - _Records Manager Documents
• Records Depository
  
• Records Depository
  CONFIDENTIAL
• Records Repository
• Records Repository
  CONFIDENTIAL
• Records Management System Directory Structure

22
DWS Electronic Records Management System Pilot

• Repository Requirements
• Folder Naming
• File Naming
• File Properties - Summary Tab (Microsoft
  products)
• Versioning used in MS Word
• Repository Management
• References/Documentation
• Standard File Name Word Abbreviations
  
• Standard Program Name Acronyms/Abbreviations

23
Searching the Repository
Limitations...

• Repository search is enabled via mandatory
  completion of the File/Properties/Summary tab in
  Microsoft products
• Limited search within Windows Explore
• You can search on file/folder names, body text
  and category and comments, but not keywords found
  in the Microsoft properties summary box.

24
Records Disposition

• Crystal Enterprise will be used to read the
  records repository folders and generate a report
  of records eligible for disposition
• Disposition identification process initiated by
  Records Officer twice a year
• Division Records Manager confer with records
  owners to authorize destruction/transfer

25
DWS Electronic Records Repository

• Directory Structure Detail
• Level 1 - S\DWS
• Level 2 - DWS_ENTERPRISE
• Records Management
  System
• Level 3 - _Records Manager Documents
• Records Depository
  
• Records Depository
  CONFIDENTIAL
• Records Repository
• Records Repository
  CONFIDENTIAL

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Limitations

• Search of document properties is limited to
  within individual Microsoft products
• Unable to ensure that backup tape copies of
  records are handled at the same time as
  repository document disposition

28
Limitations

• No easy way to make association to the division
  and/or General Schedule RDAs
• no dropdown available in File/Properties
• No easy way of classifying or categorizing a file
  as a record or to associate it with an RDA
• need to go to RDA website

29
Limitations

• Records containing signatures
• division management needs to determine if
  signature pages will be scanned or if /s/ will
  be used
• Records containing links need further
  investigation
• compound documents