using what you have electronic records management presented by: leslie koziara, ermp january 26,...
TRANSCRIPT
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Using What You HaveElectronic Records Management
Presented by:
Leslie Koziara, ERMP
January 26, 2009
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Too much information!
• In 2008, average worker sent and received 160 emails per day, with a projected growth of 30% per year
• The average organization makes 19 copies of each document
• How many emails are in your Inbox? – How many in your Sent Items?
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On the average, each employee spends 3.5 hours per week every year searching for information they can’t find. At an average information-worker salary, that comes to
$5,251 per person per year.*
How many people are in your agency?
*IDC “Hidden Costs of Information Work” white paper
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Regardless of format – and the list keeps getting longer!
ELECTRONIC RECORD (Chapter 19.34 RCW) A record generated, communicated, received or stored by electronic
means.
• E-mail & attachments• Websites• Databases• Text Messaging • Instant Messaging• Voice mail (can now be
converted to email)
• Digital photos• Scanned documents• Outlook calendars• Handheld devices (PDA’s)
• Spreadsheets• Word documents• Blogs, Wikis, Twitter
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You’ve got all these electronic records
Now what?
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There is no magic bullet
There is currently no magic
“one-size-fits-all” solution
By implementing records management policies and best practices, you can
manage information without investing in additional technology
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Use resources you already have
• Retention Schedules
• Existing Staff
• Desktops
• Servers
You do not need to purchase additional technology tools to begin ERM!
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Save $$$
• Inventory - Know your records! – Create a Data Map (custodians, systems)
• Get rid of the ROT in your servers and on the shelves– Redundant– Outdated– Trivial
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Electronic file cabinets
Think electronic “file cabinets”
Just like traditional metal cabinets
used for paper, only digitized
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Setting up the files
• Can be individual “drawers” – working files set up in email application
• Can be work group or section “file cabinets” – files sent to shared drive or server used by group
• Can be “central files” or “records center” – files sent to central storage or central repository
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Attendance and Leave GS03030
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Attendance & Leave RecordsGS03030
Attendance & Leave Records
GS03030
“Date”
Attendance & Leave Records
GS03030
“Date”
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File structure exampleGS03030
2009
2009 2009 2009
John GS03030
JaneGS03030
JoeyGS03030
Attendance & Leave Records
GS03030
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Next level
JaneComp TimeGS03030
JoeyComp TimeGS03030
JohnAnnual Leave
GS03030
JaneAnnual Leave
GS03030
JoeyAnnual Leave
GS03030
JohnSick Leave
GS03030
JaneSick LeaveGS03030
JoeySick Leave
S03030
JohnComp TimeGS03030
2009 2009 2009
2009 2009 2009
2009 2009 2009
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Another example
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Local Gov’t CORE
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Example
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Vendor Payments GS01004
When cut – off is “Date of Document”, it is
easier to group by year using the last date of the documents in the
file as your cut-off. For instance, the last date
in this file for a document is 6/18/2009.
Use that date as the cut-off.
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File structure exampleGS01004
2009
2009 2009 2009
VoucherDistribution
Register GS01004
Encumbrance RequestGS01004
Certification Report
GS01004
Vendor PaymentFiles
GS01004
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You can also…
Purchase Orders GS01004
Field Order FilesGS01004
Purchase RequisitionGS01004
Invoice VoucherGS01004
Printing RequisitionGS01004
Copy Center RequestsGS01004
Travel Expense PaymentsGS01004
Inter-AgencyBilling
GS01004
Encumbrance &LiquidationGS01004
2009 2009 2009
2009 2009 2009
2009 2009 2009
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Another example
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Setting it up
• Keep it as simple as possible
• Classify information in groups
• Use existing retention schedules– Revise and create new as needed
• Implement “universal knowledge”– Consider both current and future users – Ease of use, keep it simple!
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Don’t agonize, organize!
• E-mail applications
• Shared drive or servers
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Daily maintenance
• EVERYONE has a responsibility for the electronic records they use and create
• Daily “filing” or sorting should be done• Organize from the start, much easier than
going back• New behaviors take time, and be sure to
keep the process simple, and train extensively, provide help for users (desk guides, cheat sheets)
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When using email Just a note
• Educate users when drafting emails to provide context by using subject line when drafting messages
• Easier to determine content and subject without opening, easier to manage and search
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FILE MANUALLY WITHIN E-MAIL APPLICATION
PRO:• Saves metadata and remains searchable• Can set up consistent file structure
CON:• Access and use only by individual user – no central
storage or access• Keeping in email system can slow system down –
mailbox limits• Random filing practices, 10 people = 10 different ways of
filing, 10 different file names, 10 different places to look
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How it works• Individual users move emails into pre-
determined folders
• Users are responsible for decisions on retention and disposition
• Good to set up as “working files”, or transitory administrative type information
• Recommend “record” copies be retained on drives & servers or ERM system
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• Good method to get started, encourages use of retention schedule driven filing
• “Record” copies of emails best saved to network server or shared drive
• Provides consistency
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Can look like this
Set up folder, drag and drop - In this case, email has to do with
DOP classes and proposed scheduling, which goes under
“Conferences and Seminars” which is State General Schedule record
series “Conferences and Seminars” DAN # GS 22005
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GS22005
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Next level
Additional folders can be set up to further define the content –
under “Conferences and Seminars” specific folders are set up for different events –
easy to locate and search, still all under DAN # GS 22005
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Adapt as needed
Drill down as far as necessary, but keep it simple and easy to use
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Using email application folders
Remember, you can:
• Can match up to folders you set up on network server or shared drive
• Match up to retention schedules as well
• Again, recommended use is for short-term or temporary retention, use alternative methods for longer term retention and disposition
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FILE MANUALLY IN FOLDERS ONSHARED HARD DRIVES/SERVERS
PRO:• Provides consistent method for organizing and
retaining electronic records• Centralized storage, accessible to multiple
users simultaneously• Retention and disposition functions better
served using drives and servers• Can appoint administrators to system
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How it works• Designated shared drive is used for storage
or “respository”• Users save records into specified folders• Users can retrieve and move at will• Uses standardized naming conventions
(controlled vocabulary) • Generally no active retention or disposition
applied, will need to have applied (IT can help set controls, security)
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In addition• Centralization makes good sense
– More effective in event of staff turnover, other “life happens” scenarios
• Increased search capability for discovery and disclosure
• Can apply retention and disposition to stored records, can appoint system administrator to manage
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Can look like this
Create file folders in a server or shared drive “electronic file cabinet” as appropriate on a
dedicated shared drive or network
Marry up with appropriate retention schedules and mirror pre-set e-mail folders
Conferences & Seminars
GS22005
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Click
Create appropriate file “drawers” and create the folders as necessary in
which to “file” your information – all of these are still GS 22005
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“Saved As” e-mail
Use the .msg extension, it can saves record copye-mails electronically and preserve the metadata as well
Using classifications and naming conventions make it easier to search and locate the information
E-mail regarding meeting room contract
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Another example
As another example, on our shared drive there are folders for the Electronic Imaging Systems Approval
This is a unique schedule records series “Requests for Electronic Imaging Systems Approval”
DAN 05-11-61010
25 year retention, cut-off is upon request approval
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Another click
Folders are created under DAN # 05-11-61010 and used by staff for filing documents related to the
approval process, and all are managed as a group according to the retention schedule
Multiple users can use, distribute, file, locate, and search as necessary, and controls can be created regarding users access, security and for retention
purposes
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Structure as necessary
Under the “EIS Approval” folder, is a“Under Review” folder set up for each
applicant for their EIS application, and multiple users can easily locate
information as necessary
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Adapt your paper files
• There is a good chance you already have an existing paper file structure:– Adapt to use for your “electronic file cabinets”– Most users will use a limited number of folders
specific to their job function and responsibilities
– Create “cheat sheets” or “desk guides” to get users familiar with their new filing system
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Content and function determines retention
• Does website contain information that stays the same and doesn’t change or simply a repository for information kept elsewhere?
• Does website change often, offer information unavailable in other formats, perform transactions? (Evidence of business)
• The more dynamic and unique the website, the more important to retain functionality in what is captured and needs to be retained
What about websites?
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Websites continued…
Have boundaries with websites:
• Keep only what you need to complete the record
• Address INTRANET sites as well
• Be sure to include links as necessary– Internal– External
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What about databases?
• Apply same principles as websites– Content and function– Is it a repository of information held
elsewhere?– Does it contain evidence of business
transactions not found in another format?– Is the database dynamic with continuous
changes, updates?
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Blogs, Wikis, Twitter
For social networks, or any other technology the same thing applies:
Are there public records being created using these formats?
Are the records being captured?
Are the records being retained, managed and disposed of according to retention schedules?
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Explore your options• There are several options depending on
your agency needs and resources
• Use your retention schedules !!
• Do your homework and plan strategies
• Plan for the future– Migration– Recopying– Remember, technology happens!
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Contact us:
Subscribe to listserv:
http://www.secstate.wa.gov/archives/RecordsManagement
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Washington State Archives: Partners in preservation and access.
www.secstate.wa.gov/archives
Thank you!