Records Management Remediation

About the Project:
Purpose

Capability Acquisition and Sustainment Group (CASG), Department of Defence requires a new Objective Work Group structure for a Business unit. The new Objective structure will:

- be aligned to, and comply with, the Defence Enterprise Records Management Policy and the CASG Records Management Information Structure Instruction
- better enable access and control to information
- employ security models to restrict access to appropriate personnel
- reflect focus on digital information management maturity.

The business unit believes such progress will support:

- digitisation of documented information
- improved information security practice
- Improved business efficiency and staff productivity

Context

The Defence Electronic Document Records Management System (EDRMS) Objective ECM v10. The business unit’s Work Group structure requires review and remediation following the merge of two separate business units.

The Work Group’s information management practices require compliance to the current Defence Enterprise Records Management Policy or an agreed Objective information structure, such as the CASG Records Management Information Structure Instruction.

Scope

The scope of the project is a single Work Group within Objective on both the Defence Protected Environment and Defence Secret Environment, encompassing ~ 950 Corporate files, and ~132,500 records, including ~90,100 uncontrolled records.

Key Deliverable

Work Group Objective Current Overview document that includes:

- Brief assessment of the Objective Work Group from a records management compliance perspective
- High-level audit summary of the Objective Work Group structure
- A needs assessment to meet National Archives Act (1983) legislative requirements, the Defence Enterprise Records Management policy and the CASG Records Management Information Structure Instruction
- Current risks of the current Objective Work Group environment
- Identification of decisions/options / actions/activities to be considered to implement a new Objective structure to meet the required standards
- Recommendations

Work Group Records Management Remediation Plan-on-a-Page

Includes:

- Overview of the remediation project
- Goals of the remediation project
- Details of remediation methodology including addressing the approach:

- Move only ‘Current’ records and new Corporate files into the new structure and move remaining records into ‘Archive’ for later record management activities using a risk-managed approach

OR
- Remediate all records
- Implementation strategy:
Segmented implementation by selected Directorate(s) and go live as each Directorate is remediated

OR

Full implementation with all Directorates remediated and then go live.
- Risk identification
- Activities necessary to conduct the required remediation.

Objective Work Group structure designed and built using the CASG Records Management Information Structure Instruction in an Objective Work Group test area, tailored for the functions and activities of the business unit Work Group Folders, files and records remediated into new Objective Work Group structure including the following activities:

- Approved User Groups are created and applied to managed the security settings in the new Work Group structure
- Work Group corporate files (~975) appraised according to the relevant records authorities and have the correct sentence period applied. Corporate files that have passed their “contents to-from” date are closed and are sentenced by an appropriately trained Sentencing Officer
- Work Group Corporate files are created in accordance with the Defence Keyword library and named using the Defence file titling conventions and sentenced on creation in accordance with the Functions and Activities contained in the Administrative Functions Disposal Authority (AFDA) version 2, and the Defence Materiel Sustainment and Logistics Support (2017/00174704) and Defence Capability Development, Acquisition and Disposal (2016/00420348) records authorities as appropriate to the contents
- Current Work Group records (~90,100 loose documents) are appraised and transferred to Corporate files created by the vendor
- Users are given aliases to their current files
- Each Corporate File is reviewed for security classification prior to being moved into the new Work Group structure.
- Work Group Corporate files are transferred to the appropriate structure folders within the new information structure
- Sentenced and closed Work Group records are stored in an ‘archive’ folder in the new structure for management by Work Group records management staff.
- The old Work Group Structure is emptied of records, old User Groups privileges are removed and deleted, and the structural folders are deleted from the system

User Communications (education) material drafted including communications on:

- What changes are being made to the Objective Work Group Structure
- Why these changes are being made
- An outline of th