Delete it or Keep it? Managing Your E-Records Brad Houston, UWM Records Officer CIO Briefing– February 13, 2008

What is a record? Records : Recorded information, in any format, that allows an office to conduct business Does NOT include unofficial records: Duplicate Copies Drafts and Informal Notes Routing Slips Personal Correspondence “ Does this document help me perform the duties in my job description?”

Records : Recorded information, in any format, that allows an office to conduct business

Does NOT include unofficial records:

Duplicate Copies

Drafts and Informal Notes

Routing Slips

Personal Correspondence

“ Does this document help me perform the duties in my job description?”

Electronic Records Value of a record determined by content , not format ! Student paper submitted in class or via mail Student paper (e-mailed or D2L-submitted) Memorandum of conversation Instant message log Accession card catalog Museum accessions database Form master copy E-Form template Memo, typed letter E-mail message Paper Analog Electronic Record

Value of a record determined by content , not format !

Is it an Electronic Record? Does your file: Support or document a transaction? Document the formulation or execution of a policy, interpretation of a policy, or change of policy? Document Actions taken in response to an inquiry? Relate to the substantive business of your office or work unit? Provide information regarding the historical development of UWM programs or people? If “yes” to any of the above, it is a record!

Does your file:

Support or document a transaction?

Document the formulation or execution of a policy, interpretation of a policy, or change of policy?

Document Actions taken in response to an inquiry?

Relate to the substantive business of your office or work unit?

Provide information regarding the historical development of UWM programs or people?

If “yes” to any of the above, it is a record!

Why do I need to keep e-recs? To document the operations of your office To document important programmatic decisions To preserve the history of your office and UWM To provide legal protection for your office To comply with Wisconsin state law! Wis. Stats. 16.61; Wis. Stats. 36.19

To document the operations of your office

To document important programmatic decisions

To preserve the history of your office and UWM

To provide legal protection for your office

To comply with Wisconsin state law!

Wis. Stats. 16.61; Wis. Stats. 36.19

Why do I need to DESTROY e-recs? To use less server space To reduce the clutter in your inbox and on your desktop To avoid confusion about which file is the record copy To provide legal protection for your office

To use less server space

To reduce the clutter in your inbox and on your desktop

To avoid confusion about which file is the record copy

To provide legal protection for your office

Not All Records Are Created Equal Desktop Application Records Ex: Word documents; databases; imaged copies of paper documents E-mail Records Ex: Transitory messages; routine correspondence; policy/procedures correspondence Web Information Ex: HTML files; CSS style sheets; blogs

Desktop Application Records

Ex: Word documents; databases; imaged copies of paper documents

E-mail Records

Ex: Transitory messages; routine correspondence; policy/procedures correspondence

Web Information

Ex: HTML files; CSS style sheets; blogs

Filenames: Just DUIT! D ate U nique I dentifier T ype 012408 InfoSecurity minutes 012408 InfoSecurity minutes .doc

Tagging and Classifying Benefits of ‘tagging’ and ‘folksonomy’ Develop office-wide categories to describe documents Working with other departments on this allows categories to work on broader scale, more consistently From there….? Tag/Categorize documents as they are created

Benefits of ‘tagging’ and ‘folksonomy’

Develop office-wide categories to describe documents

Working with other departments on this allows categories to work on broader scale, more consistently

From there….?

Tag/Categorize documents as they are created

Filing System: Desktop/Web Your computer/server is your filing cabinet; the directories are your drawers/folders Advantage over paper filing: multi-level hierarchy! Allows greater control over organization– if you keep up with it Keep record series (groups of functionally-related records) separate

Your computer/server is your filing cabinet; the directories are your drawers/folders

Advantage over paper filing: multi-level hierarchy!

Allows greater control over organization– if you keep up with it

Keep record series (groups of functionally-related records) separate

Desktop Filing Suggestions Alphabetically Good for student files, personnel, etc. Automatic arrangement, but low org. control Chronologically Good for activity tracking, financial recs, etc. Useful for keeping track of disposition Subject Good for administrative/reference files Most versatile, requires most vigilance

Alphabetically

Good for student files, personnel, etc.

Automatic arrangement, but low org. control

Chronologically

Good for activity tracking, financial recs, etc.

Useful for keeping track of disposition

Subject

Good for administrative/reference files

Most versatile, requires most vigilance

Hybrid Filing Combining one or more of the filing archetypes to fulfill reference/retention needs Example: Reference Correspondence FY2006 November Smith, A Smith, K

Combining one or more of the filing archetypes to fulfill reference/retention needs

Example:

Reference Correspondence

FY2006

November

Smith, A

Smith, K

Filing System for Email Delete non-record email as needed Manually file/folder emails for reference/retention, OR set up filters Filter by sender, subject line, recipient, etc. partially automates filing Leave emails in inbox that require quick follow-through File appropriately once responded to

Delete non-record email as needed

Manually file/folder emails for reference/retention, OR set up filters

Filter by sender, subject line, recipient, etc. partially automates filing

Leave emails in inbox that require quick follow-through

File appropriately once responded to

The Cardinal Rule of Filing/Naming Be Consistent!!!!

Be Consistent!!!!

RRDAs to the Rescue! Records Retention and Disposition Authority (RRDA) Retention period (minimum) Final Disposition Record Series description When followed, RRDAs, or Records Schedules, simplify decision-making process on keeping/destroying records Required by state law!

Records Retention and Disposition Authority (RRDA)

Retention period (minimum)

Final Disposition

Record Series description

When followed, RRDAs, or Records Schedules, simplify decision-making process on keeping/destroying records

Required by state law!

What if an RRDA doesn’t exist? Non-record files and emails (drafts, notes, etc.) may be deleted immediately Official Records may not be destroyed without a schedule Many records, such as fiscal recs., scheduled under General Records Schedules (GRSs) Contact Records Officer to arrange for e-records survey and scheduling

Non-record files and emails (drafts, notes, etc.) may be deleted immediately

Official Records may not be destroyed without a schedule

Many records, such as fiscal recs., scheduled under General Records Schedules (GRSs)

Contact Records Officer to arrange for e-records survey and scheduling

General Disposition Tips Set aside a little time each day/week as ‘purge time’ ‘Purge day’ at end of FY or in slow times? If using Outlook or Thunderbird for email, set up date search for archiving If records are unscheduled, organize them in preparation for scheduling Function, Date, Creator? When in doubt, hold on to it!

Set aside a little time each day/week as ‘purge time’

‘Purge day’ at end of FY or in slow times?

If using Outlook or Thunderbird for email, set up date search for archiving

If records are unscheduled, organize them in preparation for scheduling

Function, Date, Creator?

When in doubt, hold on to it!

Exception: Litigation Holds! Applied by official in advance of lawsuit potential If a litigation hold is placed on a record series or email group, no records from that series may be destroyed Supersedes all existing records schedules Records outside scope of hold follow normal disposition Also applies to Open Records Requests Contact Records Management or Legal Affairs with questions

Applied by official in advance of lawsuit potential

If a litigation hold is placed on a record series or email group, no records from that series may be destroyed

Supersedes all existing records schedules

Records outside scope of hold follow normal disposition

Also applies to Open Records Requests

Contact Records Management or Legal Affairs with questions

Long-Term e-Recs Preservation UWM Archives does not currently have a dedicated E-Records Repository On short list of projects for 2008 Preservation problems: Medium CD-ROMs? Magnetic Disks? Server? Preservation problems: Data Format Obsolescence? Proprietary Formats? Current Recommendation: Keep in office

UWM Archives does not currently have a dedicated E-Records Repository

On short list of projects for 2008

Preservation problems: Medium

CD-ROMs? Magnetic Disks? Server?

Preservation problems: Data Format

Obsolescence? Proprietary Formats?

Current Recommendation: Keep in office

Preservation Solution #1: Printing e-Records Avoids problems of obsolescence, mutability Most office managers better equipped to deal with paper records UWM Archives can accession paper records more easily Disadvantage : No searchability or reusability; onus to print on user; wasteful

Avoids problems of obsolescence, mutability

Most office managers better equipped to deal with paper records

UWM Archives can accession paper records more easily

Disadvantage : No searchability or reusability; onus to print on user; wasteful

Preservation Solution #2: Native Format Storage Storing documents as created by applications Easiest option for most users, particularly if well-organized Disadvantage : Requires constant migration (every new version); no backup puts data at risk; media may degrade UWM Archives is NOT equipped to handle this method of storage

Storing documents as created by applications

Easiest option for most users, particularly if well-organized

Disadvantage : Requires constant migration (every new version); no backup puts data at risk; media may degrade

UWM Archives is NOT equipped to handle this method of storage

Preservation Solution #3: Neutral Format Storage (Recommended) Files converted to non-proprietary format (TIFF, XML, PDF/A) and stored remotely PantherFile, LOCKSS Box Reduces/eliminates need for migration or emulation Provides backup and transfer options Disadvantage : Conversion may be labor-intensive; onus on user for now

Files converted to non-proprietary format (TIFF, XML, PDF/A) and stored remotely

PantherFile, LOCKSS Box

Reduces/eliminates need for migration or emulation

Provides backup and transfer options

Disadvantage : Conversion may be labor-intensive; onus on user for now

A Few Special Notes on Email Archive your email on your computer or server space , not on the email server Think about it: do you check out books from the Post Office? Convert archived email to neutral format TXT files are easiest; XML files preserve metadata better Keep attachments associated with email files

Archive your email on your computer or server space , not on the email server

Think about it: do you check out books from the Post Office?

Convert archived email to neutral format

TXT files are easiest; XML files preserve metadata better

Keep attachments associated with email files

Email notes, cont. Include original message and reply inline when possible Allows for complete documentary record Only need to save last message in thread Include all relevant information in printout: Header information Body Text Attachments Signature blocks

Include original message and reply inline when possible

Allows for complete documentary record

Only need to save last message in thread

Include all relevant information in printout:

Header information

Body Text

Attachments

Signature blocks

Personal Email? Two Rules of Thumb: 1. Try not to send personal e-mails from your university account; if you do, though, keep them separate from your work e-mails. 2. Never send work-related e-mails from personal e-mail accounts!

Two Rules of Thumb:

1. Try not to send personal e-mails from your university account; if you do, though, keep them separate from your work e-mails.

2. Never send work-related e-mails from personal e-mail accounts!

PantherLink and E-mail management Upcoming email client has LOTS of the features described here built right in Visual tagging, drag-and-drop foldering, auto-filtering NOT a fully automated RM system—users will still have to be vigilant! Training on PantherLink and e-mail management coming Summer 2008

Upcoming email client has LOTS of the features described here built right in

Visual tagging, drag-and-drop foldering, auto-filtering

NOT a fully automated RM system—users will still have to be vigilant!

Training on PantherLink and e-mail management coming Summer 2008

Above all else… As much as is possible, consider electronic records to be ‘normal’ university records, and treat them as such! Stay on top of managing your e-Records, and they won’t spiral out of control!

As much as is possible, consider electronic records to be ‘normal’ university records, and treat them as such!

Stay on top of managing your e-Records, and they won’t spiral out of control!

For More Information State of Wisconsin E-Mail Policy and Guidance http:// enterprise.state.wi.us/home/email/Default.htm Wisconsin DOA Electronic Records ( See especially the training links) http://enterprise.state.wi.us/home/erecords/ ADM Ch. 12: Electronic Records http://www.legis.state.wi.us/rsb/code/adm/adm012.pdf

State of Wisconsin E-Mail Policy and Guidance

http:// enterprise.state.wi.us/home/email/Default.htm

Wisconsin DOA Electronic Records ( See especially the training links)

http://enterprise.state.wi.us/home/erecords/

ADM Ch. 12: Electronic Records

http://www.legis.state.wi.us/rsb/code/adm/adm012.pdf

UWM Records Management New Records Management Home Page! http://www.uwm.edu/Libraries/arch/recordsmgt/ Includes links to UWM and UW-System General Records Schedules, webcasts, this presentation Or, Contact Records Management directly: [email_address] (Brad Houston) 414-229-6979

New Records Management Home Page!

http://www.uwm.edu/Libraries/arch/recordsmgt/

Includes links to UWM and UW-System General Records Schedules, webcasts, this presentation

Or, Contact Records Management directly:

[email_address] (Brad Houston)

414-229-6979

Questions?