2009-04-24 Northwest Regional Records Management Seminar 08: Using What You Already Have

Using What You Have Electronic Records Management Presented by: Leslie Koziara, ERMP January 26, 2009

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?

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

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 • Digital photos • Websites • Scanned documents • Databases • Outlook calendars • Text Messaging • Handheld devices (PDA’s) • Instant Messaging • Spreadsheets • Voice mail (can now be • Word documents converted to email) • Blogs, Wikis, Twitter

You’ve got all these electronic records Now what?

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

Use resources you already have • Retention Schedules • Existing Staff • Desktops • Servers You do not need to purchase additional technology tools to begin ERM!

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 – Create a Data Map (custodians, systems) • Get rid of the ROT in your servers and on the shelves – Redundant – Outdated – Trivial

Electronic file cabinets Think electronic “file cabinets” Just like traditional metal cabinets used for paper, only digitized

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

Attendance and Leave GS03030

Attendance & Leave Records GS03030 Attendance & Leave Records GS03030 “Date”

File structure example GS03030 2009 Attendance & Leave Records GS03030 2009 2009 2009 John Jane Joey GS03030 GS03030 GS03030

Next level 2009 2009 2009 John Jane Joey Comp Time Comp Time Comp Time GS03030 GS03030 GS03030 2009 2009 2009 John Joey Jane Annual Leave Annual Leave Annual Leave GS03030 GS03030 GS03030 2009 2009 2009 John Jane Joey Sick Leave Sick Leave Sick Leave GS03030 GS03030 S03030

Another example

Local Gov’t CORE

Example

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.

File structure example GS01004 2009 Vendor Payment Files GS01004 2009 2009 2009 Voucher Encumbrance Certification Distribution Request Report Register GS01004 GS01004 GS01004

You can also… 2009 2009 2009 Field Order Files Purchase Orders Purchase Requisition GS01004 GS01004 GS01004 2009 2009 2009 Copy Center Printing Invoice Voucher Requests Requisition GS01004 GS01004 GS01004 2009 2009 2009 Encumbrance & Travel Expense Inter-Agency Liquidation Payments Billing GS01004 GS01004 GS01004

Another example

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!

Don’t agonize, organize! • E-mail applications • Shared drive or servers

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)

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

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

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

• 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

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

GS22005

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

Adapt as needed Drill down as far as necessary, but keep it simple and easy to use

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

FILE MANUALLY IN FOLDERS ON SHARED 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

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)

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

Can look like this Conferences & Seminars GS22005 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

Click Create appropriate file “drawers” and create the folders as necessary in which to “file” your information – all of these are still GS 22005

“Saved As” e-mail E-mail regarding meeting room contract Use the .msg extension, it can saves record copy e-mails electronically and preserve the metadata as well Using classifications and naming conventions make it easier to search and locate the information

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

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

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

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

What about websites? 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

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

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?

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?

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!

Contact us: recordsmanagement@secstate.wa.gov Subscribe to listserv: http://www.secstate.wa.gov/archives/RecordsManagement

Thank you! Washington State Archives: Partners in preservation and access. www.secstate.wa.gov/archives

2009-04-24 Northwest Regional Records Management Seminar 08: Using What You Already Have

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