Transcript Slide 1

EXECUTIVE OFFICE OF THE MAYOR
OFFICE OF THE SECRETARY
OFFICE OF PUBLIC RECORDS
District of Columbia 5 Year Strategic Plan to
Modernize Records and Information Management
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Office of Public Records
Executive Office of the Mayor
Office of the Secretary
Dr. Stephanie Scott
Public Records Administrator
Mark Mandel
Administrative Assistant
Arlethia Thompson
Archivist
William Branch
Archivist
William Walker
Archivist
Ali Rahmaan
Archives
Federal Record Center
Research Requests
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OPR Strategic Plan and DC Archives
Agenda
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Goals and Objectives
Current State
Desired State
Automation and Best Practices
Progress to Date
DC Archives
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Goals and Objectives
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Five year plan to modernize the District’s Records
Management policies and procedures
Apply best practices and automation to meet this
objective
Benefits:
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Reduced space requirements = significant cost savings
Reduced staff time for filing and searching for records
Reduced risk of litigation based on location of specific records
Increased compliance with FOIA, HIPAA, FERPA and other
requirements
Increased compliance with audit requirements, significant reduction in
fines or penalties related to missing records
Improved customer service, reductions in cycle times for transactions
Increased transparency in government
Preservation of the District’s historic record
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Current State
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Entirely paper based
Retention plans date to 1985, 1979 – few have been
updated
Many agencies do not have any retention schedule
Many agencies do not have a Records Officer
Many agencies do not use OPR’s services
Some use outside vendors such as Iron Mountain,
Recall, and Shred-It
Many original records are in very poor condition
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Agency RM Organizational Problems
Policies, Procedures & SOPs
Digitization/Electronic Content Management
Agency Retention Schedule
More staff & space
Lack of authority/Compliance Enforcement
0%
5%
10%
15%
20%
25%
30%
35%
40%
What organizational problems are you experiencing with managing your RM program?
What areas do you think need improvement?
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Agencies want to ‘comply’ with RM best practices but:
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Don’t know what they are
Don’t have tools
Don’t have the organizational authority
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Key Take-Aways
The “As Is:”
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Not all agencies use OPR – if they did, not enough resources to support need
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Services are used inconsistently
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Standards/policies that do exist are not followed consistently
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Inconsistency leaves the District with potential legal and cost liabilities
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Agencies are generally satisfied with the ‘Tactical’ support provided by OPR
today, BUT, to be successful in the “To Be,” they…….
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Seek more ‘Strategic’ services in RM from OPR including:
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Documented & easily accessible laws, policies, procedures
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Retention Schedule guidance & ongoing training
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ECM guidance & support
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Assistance in Compliance enforcement
New Public Records Administrator on board to drive “To Be” innovations
RM Compliance & ECM are crucial to The District’s RM future
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Desired Agency “To Be” RM Improvements
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Better Disposal Handling
Need clear, documented, and
easily accessible:
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Cross-Agency electronic
data mining
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Increase staff count
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Seek more OPR Guidance
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Electronic Document Mngmt
Agency-wide automated
search/retrieval
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10%
20%
30%
40%
50%
How would you improve your agency's RM
program?
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laws,
policies &
procedure guidance from OPR
on RM
ECM/EDM was recognized as
a critical component to the
future of RM
Need a standard taxonomy &
metadata for electronic
storage, search & retrieval of
files
Centralize ECM contractual
support cross-agency to
facilitate digitization process
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Desired OPR “To Be” Improvements
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Set & enforce paper RM &
ECM standards to serve as
the basis for compliance
Reinforce with documented &
accessible guidance, training,
and regular audits
Clarify ambiguities regarding:
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What recommendations can you make to
improve the service to your agency by The OPR?
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whether digital records can
replace all, some or just
certain types of the paper
records
whether digital records can
supplant paper records in
court cases
storage of digital media as
related to retention categories
type of medium acceptable
for archival records
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Desired State
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Implement a Records Management automated system
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Track retention schedules for all records
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Scanned images
Electronic documents
Email
Historical Archives
Physical items
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Microfilm
Paper
3 Dimensional Objects
Check in / check out of physical records
Location of physical records
Automated notification for transfer or destruction when records
reach the end of their disposition period
Automated destruction of electronic records
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A Single Application to Manage ALL District Records
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Implement a Records Management Collaboration
Process
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SharePoint Portal and Collaboration Site
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Intranet – for use by Records Officers and other internal users
Internet – as a portal to the public
Records Officer Users Group
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Quarterly Meetings
Ongoing Training
Collaboration
Standard Operating Procedures
Resources, FAQs, Blogs
Retention Schedules
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Automation
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ECM is the key to enable the vision of a single
application to manage all District records
Records Management Automation best practice is to
implement as an integrated component of ECM
Non-integrated approaches are not recommended; very
inefficient, poor user acceptance
The vision can only be achieved if all or most agencies
use ECM routinely
Retention management becomes fully automated when
agencies use Electronic Records management
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The Vision
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All agencies use a single system as their document
repository
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Business Applications are integrated with ECM
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There will be some exceptions such as Recorder of Deeds
E-Discovery, FOIA, criminal investigations, audits, compliance
are all addressed – cost savings in the tens of $millions
PeopleSoft
PASS
ACEDS
Destiny (DMV)
SharePoint is integrated with ECM
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Provides robust common repository and RM
Enterprise Content Management Provides Full Life Cycle Records Management
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Vision (continued)
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Email Archive
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Audit
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Use of ARMA GARP Maturity Model
Audit Agencies for Compliance with Enterprise Objectives
Publish as Key Performance Indicators
Preservation/Conservation
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Provide Role and Subject Based Retention Rules
Must be Transparent to Users
Use of auto-classification tools
Facilitate Grants Process for Restoration and Conservation of
Historic Materials
Move to Big Bucket Retention Schedule
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How to Accelerate Adoption
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Enterprise Taxonomy
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Distributed Capture
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Document Types
Metadata
Security
Retention
Normalize Across Agencies
Use of MFDs
Barcode Cover Sheet Application
“Scan on Demand”
Central Scan and Outsource Options
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Role of the Agency Records Officer
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Survey Users in Agency
Establish Baseline GARP Maturity Level
Enforce RM Policy and Procedures for your Agency
Update and Maintain your Agency Retention Schedule
Interface with OPR
Fill out SF 135s for Accessions to the Archives or FRC
Key Stakeholder for Agency Digitization Projects
Train Users on RM Principles
Initiate Preservation Efforts
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Agency Audit
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GARP Level Definitions for DC
Level 1 Red
Sub-Standard
 No Records Officer
 No Records Retention Schedule
 No Records Management Process
Level 2 Orange
In Development
• Records Officer Identified
• Records Retention Schedule is Not
Current
• Processes are Mostly Paper Based
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GARP Level Definitions
Level 3 Amber
Essential
• Records Officer has Authority and
Management Support
• Updated Records Retention Schedule
• Plans for Automated System
Level 4 Blue
Proactive
• Records Officer has Authority and
Management Support
• Records Schedule is Current
• Automated Systems Partially
Implemented
• Paper Processes Reduced by 30%
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GARP Level Definitions
Level 5 Green
Transformational
• The organization’s senior management
and its governing board place great
emphasis on the importance of the
program.
• The records management program is
directly responsible to an individual in
the senior level of management.
• Records Officer has Authority and
Management Support
• Records Schedule is Current
• Automated Systems are in Place
• Paper Processes Reduced by 80% or
More
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Progress to Date – After One Year
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Developed 5 Year Strategic Plan
Established Records Officer User Group
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Created ROUG SharePoint Collaboration Site
Developed Big Buckets Retention Schedule Draft
Developed Electronic Signature Policy
Developed RFP Standards for ECM Projects
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Quarterly Meetings – 2 so far
Training on SOPs, Vision, Audits, Metrics
Dept of Human Services Project Awarded – 600 users + backfile
conversion of over 22 million pages
FOIA Project in Evaluation Stage
Wills and Deeds Digitization Projects in Process
Grant Request for Birth Index Conservation
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Next Steps
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Reconstitute SHRAB
Reconstitute Records Disposition Committee
Establish ECM Steering Committee
Establish ECM Architecture Review Board
Obtain Conservation Grants
Funding for Accelerated Rollout of ECM
IDIQ Contract for Scanning Services
Finalize and Implement Big Buckets Retention Schedule
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District of Columbia
Office of Public Records
D.C. ARCHIVES
DC Archives
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DC Archives
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DC Archives
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DC Archives
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DC Archives – ROD Digitization Project
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DC Archives – Wills Digitization Project
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DUKE ELLINGTON BIRTH CERTIFICATE
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WILL OF ALEXANDER GRAHAM BELL
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WILL OF ANDREW JACKSON
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WILL OF DOLLY MADISON
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WILL OF JAMES MADISON
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ELECTRIC CHAIR FROM DC PRISON & LORTON
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Mark Mandel
[email protected]
202-671-1108
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