EXECUTIVE OFFICE OF THE MAYOR OFFICE OF THE SECRETARY OFFICE OF PUBLIC RECORDS

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

2. 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 Archives Archivist William Walker Federal Record Center Archivist Ali Rahmaan Research Requests

3. OPR Strategic Plan and DC Archives Agenda • Goals and Objectives • Current State • Desired State • Automation and Best Practices • Progress to Date • DC Archives

4. Goals and Objectives • Five year plan to modernize the District’s Records Management policies and procedures • Apply best practices and automation to meet this objective • Benefits: • 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

5. Current State • 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

6. Agency RM Organizational Problems • Agencies want to ‘comply’ with RM best practices but: • Don’t know what they are • Don’t have tools • Don’t have the organizational authority What organizational problems are you experiencing with managing your RM program? What areas do you think need improvement?

7. Key Take-Aways The “As Is:” • Not all agencies use OPR – if they did, not enough resources to support need • Services are used inconsistently • Standards/policies that do exist are not followed consistently • Inconsistency leaves the District with potential legal and cost liabilities • Agencies are generally satisfied with the ‘Tactical’ support provided by OPR today, BUT, to be successful in the “To Be,” they……. • Seek more ‘Strategic’ services in RM from OPR including: • Documented & easily accessible laws, policies, procedures • Retention Schedule guidance & ongoing training • ECM guidance & support • 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

8. Desired Agency “To Be” RM Improvements • Need clear, documented, and easily accessible: • 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 How would you improve your agency's RM program?

9. Desired OPR “To Be” Improvements • 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: • 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 What recommendations can you make to improve the service to your agency by The OPR?

10. Desired State • Implement a Records Management automated system • Track retention schedules for all records • Scanned images • Electronic documents • Email • Historical Archives • Physical items • 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

11. A Single Application to Manage ALL District Records

12. Implement a Records Management Collaboration Process • SharePoint Portal and Collaboration Site • Intranet – for use by Records Officers and other internal users • Internet – as a portal to the public • Records Officer Users Group • Quarterly Meetings • Ongoing Training • Collaboration • Standard Operating Procedures • Resources, FAQs, Blogs • Retention Schedules

16. Automation • 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

17. The Vision • All agencies use a single system as their document repository • 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 • Business Applications are integrated with ECM • PeopleSoft • PASS • ACEDS • Destiny (DMV) • SharePoint is integrated with ECM • Provides robust common repository and RM Enterprise Content Management Provides Full Life Cycle Records Management

18. Vision (continued) • Email Archive • Provide Role and Subject Based Retention Rules • Must be Transparent to Users • Use of auto-classification tools • Audit • Use of ARMA GARP Maturity Model • Audit Agencies for Compliance with Enterprise Objectives • Publish as Key Performance Indicators • Preservation/Conservation • Facilitate Grants Process for Restoration and Conservation of Historic Materials • Move to Big Bucket Retention Schedule

19. How to Accelerate Adoption • Enterprise Taxonomy • Document Types • Metadata • Security • Retention • Normalize Across Agencies • Distributed Capture • Use of MFDs • Barcode Cover Sheet Application • “Scan on Demand” • Central Scan and Outsource Options

20. Role of the Agency Records Officer • 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

21. Agency Audit

23. 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

24. 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%

25. 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

26. Progress to Date – After One Year • Developed 5 Year Strategic Plan • Established Records Officer User Group • Quarterly Meetings – 2 so far • Training on SOPs, Vision, Audits, Metrics • Created ROUG SharePoint Collaboration Site • Developed Big Buckets Retention Schedule Draft • Developed Electronic Signature Policy • Developed RFP Standards for ECM Projects • 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

27. Next Steps • 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

28. District of Columbia Office of Public RecordsD.C. ARCHIVES

29. DC Archives

30. DC Archives

31. DC Archives

32. DC Archives

33. DC Archives – ROD Digitization Project

34. DC Archives – Wills Digitization Project

35. DUKE ELLINGTON BIRTH CERTIFICATE

36. WILL OF ALEXANDER GRAHAM BELL

37. WILL OF ANDREW JACKSON

38. WILL OF DOLLY MADISON

39. WILL OF JAMES MADISON

40. ELECTRIC CHAIR FROM DC PRISON & LORTON

41. Mark Mandel Mark.mandel@dc.gov 202-671-1108