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

What Did We Hope to Accomplish?

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)

Enterprise 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 Business 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 Business Problem cont’d The vast majority of today’s records are “born electronic” Staff are inundated with shared documents and Multiple copies exist on the servers of just about everything

The File Cabinet’s Days are Numbered!

Why Build the Records Repository on the DWD LAN? The files are already there…everywhere... …but they are not easy to find!

Metadata is the Key But…it’s missing! A cultural change needs to occur

What Did We Include?

Project Scope Four Records Series Administrators Memos Contracts Policy Memos Complaints  Documents, spreadsheets, diagrams  as relevant supporting documentation to the complete official record

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

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

Pilot Documents

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

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

DWD Information Repository Structure 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 Structure 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 Structure 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 Filing Desktop 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 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

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

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.

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

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

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

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

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