This is a follow-up to my inquiry from early April regarding an instructional procedure for either RIM staff or business unit personnel on how to manually clean up existing stores of unclassified and/or abandoned e-records that exist in shared drives. After doing fairly extensive research, I wasn't able to find what I was looking for ready-made, so I "invented the wheel," so to speak. The text below is what I came up with for my particular RIM environment. Note there are two options to allow individual business units to choose which will be easiest (or less burdensome) for them to accomplish. I'm hoping that other records managers I heard from who are struggling with this same issue can benefit from my work, so very little "re-inventing" will need to take place in the future. I welcome any and all comments, criticisms and suggestions for improvement.
P.S. I hope this formats properly as email text!
--Lee
[cid:image001.jpg@01C9CDA6.24CC16F0]
Lee R. Nemchek, MLS, CRM
Vice President, Records Management
Oaktree Capital Management, L.P.
333 South Grand Avenue, 28th Floor
Los Angeles, CA 90071
p +1 213 830-6252 f +1 213 830-8504
[log in to unmask]<mailto:[log in to unmask]>
www.oaktreecapital.com
SHARE DRIVE RESTRUCTURING & CLEAN-UP
Use This Procedure To:
* Create a departmental shared drive area that is organized according to the Company RIM Taxonomy and uses standard folder, sub-folder and document naming conventions
* Eliminate the use of multiple, overlapping, unorganized electronic repositories for departmental use
* Eliminate redundancy and duplication in shared drive areas
Additional Outcomes:
* Mitigate legal and compliance risks
* Increase operational efficiency
* Distinguish business records from non-records and identify where non-records exist
* Accelerate standardization in naming and organizing business records
* Eliminate privacy and security gaps
Abbreviations Commonly Used:
BU - Business Unit
RIM - Records & Information Management
Records Used in this Procedure:
File Plan Reorganization Worksheet
Company RIM Taxonomy
Share Drive Clean-Up Progress Tracking Chart
Process Overview for Each Individual Business Unit:
1. Document the file plan(s) currently in use by the business unit.
2. Develop new file plan(s) using Company RIM Taxonomy function/activity/record series model.
3. Assign and track clean-up responsibilities.
4. Clean-up existing records by (1) classifying, (2) reorganizing, (3) re-naming, and (4) deleting, where appropriate.
5. Implement new file plan(s) and transfer records accordingly.
6. Apply security protocols to prevent unauthorized alternations to approved file plan(s).
7. Repeat Step 4 at each folder and sub-folder level in the new file plan.
8. Integrate personal record stores into new departmental file plan and repeat Step 4 as needed.
9. Assign responsibility for maintenance and audit.
General Rule to Ensure Record Findability:
Each e-record with an appraised value to Company should exist in only one location, and each should be classified and named in accordance with agreed-upon conventions.
OPTION ONE
PHASE I - Performed by BU RIM Liaison Team Leader and RIM Personnel
1. Revisit electronic RIM environment.
* Shared and private departmental drives in BU "base" office and in other offices where BU operates.
* BU-owned data repositories in SharePoint, eCabinet, Access databases and 3rd party applications.
2. Confirm going-forward drive structure and repository use for e-records (primary and secondary locations, if applicable).
3. Identify locations of unnamed and/or unclassified record stores.
4. Conduct side-by-side comparison of existing folder/sub-folder structures to Company RIM taxonomy.
5a. Design new and/or reorganized file plan(s) based on BU's function/activity/transaction taxonomy model;
OR
5b. If BU already has a workable e-record file plan, map existing folders and sub-folders to taxonomy.
6. If needed, submit taxonomy revisions to address vocabulary issues and newly identified record series.
7. Develop new e-record naming conventions, including use of document footers.
8. Communicate new e-record naming and classification procedures to BU personnel; provide training and procedural guidance as necessary.
9. Divide responsibility for Phase II clean-up among BU RIM Liaison Team and RIM personnel according to subject expertise, size/complexity of required first pass clean-up, and confidentiality considerations.
10. Create Share Drive Clean-Up Progress Tracking Chart for Phase II clean-up, reflecting existing file plan folders and sub-folders.
PHASE II - Performed on records in existing file plan(s) by BU RIM Liaison Team (Leader & Administrators) and RIM Personnel, as assigned
1. Perform first pass clean-up activities and track progress on Chart.
* Review folder names and locations in the drive system.
o Consolidate folders and sub-folders that can be consolidated to eliminate duplication and overlap.
o Delete folders and sub-folders that are empty, obsolete, superseded, duplicative, or otherwise have no business value for Company.
o Create a sub-folder named "Archive Review" under each top level folder in the file plan and under sub-folders as needed, to collect individual records for later review.
* Review all unnamed and/or unclassified business records individually for subject content and move each item into an appropriate top level folder and/or sub-folder.
o Re-name items as needed to conform to approved naming conventions.
o Delete items that are obsolete, superseded, duplicative, or otherwise have no business value for Company.
o Move all unidentified or otherwise questionable items to an appropriate Archive Review sub-folder for later review.
o Continue through all items until process is complete and there are no more unnamed and/or unclassified individual records, i.e., all records are classified into their appropriate sub-folders and top level folders, or they have been placed in the Archive Review folder.
o If applicable, move items saved in top level folders to appropriate sub-folders; i.e., do not file individual records under top level folders if there are existing sub-folders that more closely match the transactional content of the records.
2. Divide responsibility for Phase III clean-up among BU subject specialists, RIM Liaison Team and RIM personnel.
3. Create Share Drive Clean-Up Progress Tracking Chart for Phase III clean-up, reflecting new file plan folders and sub-folders.
PHASE III - Performed by BU personnel subject specialists, BU RIM Liaison Team and RIM Personnel, as assigned
1. Implement new file plan(s) or file plan revisions
* Implement security protocols to prevent unauthorized alteration of folder/sub-folder names and structure.
* Move individual items from existing folders/sub-folders to new folders/sub-folders as appropriate for the new file plan.
* Reorganize and re-name records as necessary to conform to approved file plan and naming conventions.
* Eliminate the old file plan from the shared drive.
o Old file plan folders should all be empty after new file plan implementation is completed.
2. Perform second pass clean-up activities and track progress on Chart.
* Review and appraise individual records in each Archive Review folder(s) for subject content and value (legal, fiscal, operational and/or historical).
o Refer to Company RIM taxonomy to determine whether records under review have any legal/regulatory value to the organization.
? If so, these must be retained until retention schedules are applied.
o Identify and delete records that have no appraised value to the organization, especially superseded and duplicate records.
o Reorganize and re-name records as necessary to locate them under their appropriate folders and sub-folders in the file plan.
o Continue for all items until Archive Review folder is empty (at which time it should be deleted).
PHASE IV - Performed by all BU personnel
1. Integrate personal record stores into new departmental file plan.
* From personally-named shared drives, private drives, hard drive, desktop and Outlook e-mail folders, if applicable.
* Move and re-name records; do not retain personal duplicate copies.
* Identify and delete records that have no appraised value to the organization, especially superseded and duplicate records.
OPTION TWO
PHASE I - Performed by BU RIM Liaison Team Leader and RIM Personnel
1. Revisit electronic RIM environment.
* Shared and private departmental drives in BU "base" office and in other offices where BU operates
* BU owned data repositories in SharePoint, e-Cabinet, Access databases and 3rd party applications
2. Confirm going-forward drive structure and repository use for e-records (primary and secondary locations, if applicable).
3. Identify locations of unnamed and/or unclassified record stores.
4. Conduct side-by-side comparison of existing folder/sub-folder structures to Company RIM taxonomy.
5a. Design new and/or reorganized file plan(s) based on BU's function/activity/transaction taxonomy model;
OR
5b. If BU already has a workable e-record file plan, map existing folders and sub-folders to taxonomy.
6. If needed, submit taxonomy revisions to address vocabulary issues and newly identified record series.
7. Develop new e-record naming conventions, including use of footers.
8. Communicate new e-record naming and classification procedures to BU personnel; provide training and procedural guidance as necessary.
9. Divide responsibility for Phase II clean-up among BU RIM Liaison Team and RIM personnel according to subject expertise, size/complexity of required first pass clean-up, and confidentiality considerations.
10. Create Share Drive Clean-Up Progress Tracking Chart for Phase II and Phase III clean-up, reflecting new file plan folders and sub-folders.
PHASE II - Performed by BU personnel subject specialists, BU RIM Liaison Team and RIM Personnel, as assigned
1. Implement new file plan(s) or file plan revisions
* Implement security protocols to prevent unauthorized alteration of folder/sub-folder names and structure.
* Move individual items from existing folders/sub-folders to new folders/sub-folders as appropriate for the new file plan.
* Reorganize and re-name records as necessary to conform to approved file plan and naming conventions.
2. Perform first pass clean-up activities and track progress on Chart.
* Review folder names and locations in the drive system.
o Delete folders and sub-folders that are empty, obsolete, superseded, duplicative, or otherwise have no business value for Company.
o Create a sub-folder named "Archive Review" under each top level folder in the file plan and under sub-folders as needed, to collect individual records for later review.
* Individually review all unnamed and/or unclassified business records in old file plan for subject content and move each item into an appropriate top level folder and/or sub-folder in new file plan.
o Re-name items as needed to conform to approved naming conventions.
o Delete items that are obsolete, superseded, duplicative, or otherwise have no business value for Company.
o Move all unidentified or otherwise questionable items to an appropriate Archive Review sub-folder for later review.
o Continue through all items until process is complete and there are no more unnamed and/or unclassified individual records, i.e., all records are classified into their appropriate sub-folders and top level folders, or they have been placed in the Archive Review folder.
o If applicable, move items saved in top level folders to appropriate sub-folders; i.e., do not file individual records under top level folders if there are existing sub-folders that more closely match the transactional content of the records.
* Eliminate the old file plan from the shared drive.
o Old file plan folders should all be empty after new file plan implementation is completed.
3. Divide responsibility for Phase III clean-up among BU subject specialists, RIM Liaison Team and RIM personnel.
PHASE III - Performed by BU personnel subject specialists, BU RIM Liaison Team and RIM Personnel, as assigned
1. Perform second pass clean-up activities and continue to track progress on Chart.
* Review and appraise individual records in each Archive Review folder(s) for subject content and value (legal, fiscal, operational and/or historical).
o Refer to Company RIM taxonomy to determine whether records under review have any legal/regulatory value to the organization.
? If so, these must be retained until retention schedules are applied.
o Identify and delete records that have no appraised value to the organization, especially superseded and duplicate records.
o Reorganize and re-name records as necessary to locate them under their appropriate folders and sub-folders in the file plan.
* Continue until all Archive Review folders are empty (at which time they should be deleted).
PHASE IV - Performed by all BU personnel
1. Integrate personal record stores into new departmental file plan.
* From personally-named shared drives, private drives, hard drive, desktop and Outlook e-mail folders, if applicable.
* Move and re-name records; do not retain personal duplicate copies.
* Identify and delete records that have no appraised value to the organization, especially superseded and duplicate records.
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