Project OverviewProject Overview

Piloting an Enterprise Approach to Electronic Records Management

Dawn Bluma

DWD Records Officer

What Did We Hope to What Did We Hope to Accomplish?Accomplish?

Enterprise Project GoalsEnterprise 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)

Enterprise BenefitEnterprise Benefit

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

Need to Solve an Immediate Need to Solve an Immediate Business ProblemBusiness Problem

Staff aren’t 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?

Need to Solve an Immediate Need to Solve an Immediate Business Problem cont’dBusiness Problem cont’d

The vast majority of today’s records are “born electronic”

Staff are inundated with shared documents and e-mail

Multiple copies exist on the servers of just about everything

The File Cabinet’s Days are The File Cabinet’s Days are Numbered!Numbered!

Why Build the Records Why Build the Records Repository on the DWD LAN?Repository on the DWD LAN?

The files are already there…everywhere...

…but they are not easy to find!

Metadata is the KeyMetadata is the Key

But…it’s missing!

A cultural change

needs to occur

What Did We Include?What Did We Include?

Project ScopeProject Scope

Four Records Series• Administrators Memos• Contracts• Policy Memos• Complaints

Documents, spreadsheets, diagrams E-mail as relevant supporting documentation

to the complete official record

Accomplished Division Project Accomplished Division Project GoalsGoals

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

Accomplished Division Project Accomplished Division Project GoalsGoals

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

Pilot DocumentsPilot Documents

Project CharterProject Charterhttp://http://dwdworkwebdwdworkweb//asditprjasditprj/bits_/bits_pmeppmep/records_/records_mgtmgt..htmhtm

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

DWD Information Repository DWD Information Repository StructureStructure

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

DWD Information Repository DWD Information Repository Structure cont’dStructure cont’d

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

DWD Information Repository DWD Information Repository Structure cont’dStructure cont’d

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

DWD Information Repository DWD Information Repository Structure cont’dStructure cont’d

Repository requirements

– Records contain mandatory metadata elements

– A defined naming convention is followed for folders and file

– Versioning is used for Microsoft Word documents

Electronic Records FilingElectronic Records FilingDesktop Organization Best PracticesDesktop 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

DWS Electronic Records DWS Electronic Records Management System PilotManagement 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

DWS Electronic Records DWS Electronic Records Management System PilotManagement 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

Searching the RepositorySearching the Repository Limitations... 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.

Records DispositionRecords 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

DWS Electronic Records DWS Electronic Records RepositoryRepository

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

LimitationsLimitations

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

LimitationsLimitations

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

LimitationsLimitations

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