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Delete it or Keep it? Managing Your E-Records Brad Houston, UWM Records Officer CIO Briefing– February 13, 2008
What is a record? <ul><li>Records : Recorded information, in any format, that allows an office to conduct business </li></...
Electronic Records <ul><li>Value of a record determined by  content ,  not  format ! </li></ul>Student paper submitted in ...
Is it an Electronic Record? <ul><ul><li>Does your file: </li></ul></ul><ul><ul><ul><li>Support or document a transaction? ...
Why do I need to keep e-recs? <ul><li>To document the operations of your office </li></ul><ul><li>To document important pr...
Why do I need to DESTROY e-recs? <ul><li>To use less server space </li></ul><ul><li>To reduce the clutter in your inbox an...
Not All Records Are Created Equal <ul><li>Desktop Application Records </li></ul><ul><ul><li>Ex: Word documents; databases;...
Filenames: Just DUIT! D ate U nique  I dentifier T ype 012408 InfoSecurity minutes 012408 InfoSecurity minutes .doc
Tagging and Classifying <ul><li>Benefits of ‘tagging’ and ‘folksonomy’ </li></ul><ul><li>Develop office-wide categories to...
Filing System: Desktop/Web <ul><li>Your computer/server is your filing cabinet; the directories are your drawers/folders <...
Desktop Filing Suggestions <ul><li>Alphabetically </li></ul><ul><ul><li>Good for student files, personnel, etc. </li></ul>...
Hybrid Filing <ul><li>Combining one or more of the filing archetypes to fulfill reference/retention needs </li></ul><ul><l...
Filing System for Email <ul><li>Delete non-record email as needed </li></ul><ul><li>Manually file/folder emails for refere...
The Cardinal Rule of Filing/Naming <ul><li>Be Consistent!!!! </li></ul>
RRDAs to the Rescue! <ul><li>Records Retention and Disposition Authority (RRDA) </li></ul><ul><ul><li>Retention period (mi...
What if an RRDA doesn’t exist? <ul><li>Non-record  files and emails (drafts, notes, etc.) may be deleted immediately </li>...
General Disposition Tips <ul><li>Set aside a little time each day/week as ‘purge time’ </li></ul><ul><li>‘Purge day’ at en...
Exception: Litigation Holds! <ul><li>Applied by official in advance of lawsuit  potential </li></ul><ul><li>If a litigatio...
Long-Term e-Recs Preservation <ul><li>UWM Archives does not currently have a dedicated E-Records Repository </li></ul><ul>...
Preservation Solution #1: Printing e-Records <ul><li>Avoids problems of obsolescence, mutability </li></ul><ul><li>Most of...
Preservation Solution #2: Native Format Storage <ul><li>Storing documents as created by applications </li></ul><ul><li>Eas...
Preservation Solution #3: Neutral Format Storage (Recommended) <ul><li>Files converted to non-proprietary format (TIFF, XM...
A Few Special Notes on Email <ul><li>Archive your email  on your computer or server space , not on the email server </li><...
Email notes, cont. <ul><li>Include original message  and   reply inline when possible </li></ul><ul><ul><li>Allows for com...
Personal Email? <ul><li>Two Rules of Thumb: </li></ul><ul><li>1. Try not to send personal e-mails from your university acc...
PantherLink and E-mail management <ul><li>Upcoming email client has LOTS of the features described here built right in </l...
Above all else… <ul><li>As much as is possible, consider electronic records to be ‘normal’ university records, and treat t...
For More Information <ul><li>State of Wisconsin E-Mail Policy and Guidance </li></ul><ul><ul><li>http:// enterprise.state....
UWM Records Management <ul><li>New Records Management Home Page! </li></ul><ul><ul><li>http://www.uwm.edu/Libraries/arch/r...
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"Delete it Or Keep It?"

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Presentation given at monthly UWM CIO briefing re: electronic records, February 13, 2008

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Transcript of ""Delete it Or Keep It?""

  1. 1. Delete it or Keep it? Managing Your E-Records Brad Houston, UWM Records Officer CIO Briefing– February 13, 2008
  2. 2. What is a record? <ul><li>Records : Recorded information, in any format, that allows an office to conduct business </li></ul><ul><ul><li>Does NOT include unofficial records: </li></ul></ul><ul><ul><ul><li>Duplicate Copies </li></ul></ul></ul><ul><ul><ul><li>Drafts and Informal Notes </li></ul></ul></ul><ul><ul><ul><li>Routing Slips </li></ul></ul></ul><ul><ul><ul><li>Personal Correspondence </li></ul></ul></ul><ul><ul><li>“ Does this document help me perform the duties in my job description?” </li></ul></ul>
  3. 3. Electronic Records <ul><li>Value of a record determined by content , not format ! </li></ul>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
  4. 4. Is it an Electronic Record? <ul><ul><li>Does your file: </li></ul></ul><ul><ul><ul><li>Support or document a transaction? </li></ul></ul></ul><ul><ul><ul><li>Document the formulation or execution of a policy, interpretation of a policy, or change of policy? </li></ul></ul></ul><ul><ul><ul><li>Document Actions taken in response to an inquiry? </li></ul></ul></ul><ul><ul><ul><li>Relate to the substantive business of your office or work unit? </li></ul></ul></ul><ul><ul><ul><li>Provide information regarding the historical development of UWM programs or people? </li></ul></ul></ul><ul><ul><li>If “yes” to any of the above, it is a record! </li></ul></ul>
  5. 5. Why do I need to keep e-recs? <ul><li>To document the operations of your office </li></ul><ul><li>To document important programmatic decisions </li></ul><ul><li>To preserve the history of your office and UWM </li></ul><ul><li>To provide legal protection for your office </li></ul><ul><li>To comply with Wisconsin state law! </li></ul><ul><ul><li>Wis. Stats. 16.61; Wis. Stats. 36.19 </li></ul></ul>
  6. 6. Why do I need to DESTROY e-recs? <ul><li>To use less server space </li></ul><ul><li>To reduce the clutter in your inbox and on your desktop </li></ul><ul><li>To avoid confusion about which file is the record copy </li></ul><ul><li>To provide legal protection for your office </li></ul>
  7. 7. Not All Records Are Created Equal <ul><li>Desktop Application Records </li></ul><ul><ul><li>Ex: Word documents; databases; imaged copies of paper documents </li></ul></ul><ul><li>E-mail Records </li></ul><ul><ul><li>Ex: Transitory messages; routine correspondence; policy/procedures correspondence </li></ul></ul><ul><li>Web Information </li></ul><ul><ul><li>Ex: HTML files; CSS style sheets; blogs </li></ul></ul>
  8. 8. Filenames: Just DUIT! D ate U nique I dentifier T ype 012408 InfoSecurity minutes 012408 InfoSecurity minutes .doc
  9. 9. Tagging and Classifying <ul><li>Benefits of ‘tagging’ and ‘folksonomy’ </li></ul><ul><li>Develop office-wide categories to describe documents </li></ul><ul><ul><li>Working with other departments on this allows categories to work on broader scale, more consistently </li></ul></ul><ul><ul><li>From there….? </li></ul></ul><ul><li>Tag/Categorize documents as they are created </li></ul>
  10. 10. Filing System: Desktop/Web <ul><li>Your computer/server is your filing cabinet; the directories are your drawers/folders </li></ul><ul><li>Advantage over paper filing: multi-level hierarchy! </li></ul><ul><ul><li>Allows greater control over organization– if you keep up with it </li></ul></ul><ul><li>Keep record series (groups of functionally-related records) separate </li></ul>
  11. 11. Desktop Filing Suggestions <ul><li>Alphabetically </li></ul><ul><ul><li>Good for student files, personnel, etc. </li></ul></ul><ul><ul><li>Automatic arrangement, but low org. control </li></ul></ul><ul><li>Chronologically </li></ul><ul><ul><li>Good for activity tracking, financial recs, etc. </li></ul></ul><ul><ul><li>Useful for keeping track of disposition </li></ul></ul><ul><li>Subject </li></ul><ul><ul><li>Good for administrative/reference files </li></ul></ul><ul><ul><li>Most versatile, requires most vigilance </li></ul></ul>
  12. 12. Hybrid Filing <ul><li>Combining one or more of the filing archetypes to fulfill reference/retention needs </li></ul><ul><li>Example: </li></ul><ul><ul><li>Reference Correspondence </li></ul></ul><ul><ul><ul><li>FY2006 </li></ul></ul></ul><ul><ul><ul><ul><li>November </li></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Smith, A </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Smith, K </li></ul></ul></ul></ul></ul>
  13. 13. Filing System for Email <ul><li>Delete non-record email as needed </li></ul><ul><li>Manually file/folder emails for reference/retention, OR set up filters </li></ul><ul><ul><li>Filter by sender, subject line, recipient, etc. partially automates filing </li></ul></ul><ul><li>Leave emails in inbox that require quick follow-through </li></ul><ul><ul><li>File appropriately once responded to </li></ul></ul>
  14. 14. The Cardinal Rule of Filing/Naming <ul><li>Be Consistent!!!! </li></ul>
  15. 15. RRDAs to the Rescue! <ul><li>Records Retention and Disposition Authority (RRDA) </li></ul><ul><ul><li>Retention period (minimum) </li></ul></ul><ul><ul><li>Final Disposition </li></ul></ul><ul><ul><li>Record Series description </li></ul></ul><ul><li>When followed, RRDAs, or Records Schedules, simplify decision-making process on keeping/destroying records </li></ul><ul><li>Required by state law! </li></ul>
  16. 16. What if an RRDA doesn’t exist? <ul><li>Non-record files and emails (drafts, notes, etc.) may be deleted immediately </li></ul><ul><li>Official Records may not be destroyed without a schedule </li></ul><ul><ul><li>Many records, such as fiscal recs., scheduled under General Records Schedules (GRSs) </li></ul></ul><ul><li>Contact Records Officer to arrange for e-records survey and scheduling </li></ul>
  17. 17. General Disposition Tips <ul><li>Set aside a little time each day/week as ‘purge time’ </li></ul><ul><li>‘Purge day’ at end of FY or in slow times? </li></ul><ul><li>If using Outlook or Thunderbird for email, set up date search for archiving </li></ul><ul><li>If records are unscheduled, organize them in preparation for scheduling </li></ul><ul><ul><li>Function, Date, Creator? </li></ul></ul><ul><li>When in doubt, hold on to it! </li></ul>
  18. 18. Exception: Litigation Holds! <ul><li>Applied by official in advance of lawsuit potential </li></ul><ul><li>If a litigation hold is placed on a record series or email group, no records from that series may be destroyed </li></ul><ul><ul><li>Supersedes all existing records schedules </li></ul></ul><ul><ul><li>Records outside scope of hold follow normal disposition </li></ul></ul><ul><li>Also applies to Open Records Requests </li></ul><ul><li>Contact Records Management or Legal Affairs with questions </li></ul>
  19. 19. Long-Term e-Recs Preservation <ul><li>UWM Archives does not currently have a dedicated E-Records Repository </li></ul><ul><ul><li>On short list of projects for 2008 </li></ul></ul><ul><li>Preservation problems: Medium </li></ul><ul><ul><li>CD-ROMs? Magnetic Disks? Server? </li></ul></ul><ul><li>Preservation problems: Data Format </li></ul><ul><ul><li>Obsolescence? Proprietary Formats? </li></ul></ul><ul><li>Current Recommendation: Keep in office </li></ul>
  20. 20. Preservation Solution #1: Printing e-Records <ul><li>Avoids problems of obsolescence, mutability </li></ul><ul><li>Most office managers better equipped to deal with paper records </li></ul><ul><li>UWM Archives can accession paper records more easily </li></ul><ul><li>Disadvantage : No searchability or reusability; onus to print on user; wasteful </li></ul>
  21. 21. Preservation Solution #2: Native Format Storage <ul><li>Storing documents as created by applications </li></ul><ul><li>Easiest option for most users, particularly if well-organized </li></ul><ul><li>Disadvantage : Requires constant migration (every new version); no backup puts data at risk; media may degrade </li></ul><ul><li>UWM Archives is NOT equipped to handle this method of storage </li></ul>
  22. 22. Preservation Solution #3: Neutral Format Storage (Recommended) <ul><li>Files converted to non-proprietary format (TIFF, XML, PDF/A) and stored remotely </li></ul><ul><ul><li>PantherFile, LOCKSS Box </li></ul></ul><ul><li>Reduces/eliminates need for migration or emulation </li></ul><ul><li>Provides backup and transfer options </li></ul><ul><li>Disadvantage : Conversion may be labor-intensive; onus on user for now </li></ul>
  23. 23. A Few Special Notes on Email <ul><li>Archive your email on your computer or server space , not on the email server </li></ul><ul><ul><li>Think about it: do you check out books from the Post Office? </li></ul></ul><ul><li>Convert archived email to neutral format </li></ul><ul><ul><li>TXT files are easiest; XML files preserve metadata better </li></ul></ul><ul><li>Keep attachments associated with email files </li></ul>
  24. 24. Email notes, cont. <ul><li>Include original message and reply inline when possible </li></ul><ul><ul><li>Allows for complete documentary record </li></ul></ul><ul><ul><li>Only need to save last message in thread </li></ul></ul><ul><li>Include all relevant information in printout: </li></ul><ul><ul><li>Header information </li></ul></ul><ul><ul><li>Body Text </li></ul></ul><ul><ul><li>Attachments </li></ul></ul><ul><ul><li>Signature blocks </li></ul></ul>
  25. 25. Personal Email? <ul><li>Two Rules of Thumb: </li></ul><ul><li>1. Try not to send personal e-mails from your university account; if you do, though, keep them separate from your work e-mails. </li></ul><ul><li>2. Never send work-related e-mails from personal e-mail accounts! </li></ul>
  26. 26. PantherLink and E-mail management <ul><li>Upcoming email client has LOTS of the features described here built right in </li></ul><ul><ul><li>Visual tagging, drag-and-drop foldering, auto-filtering </li></ul></ul><ul><li>NOT a fully automated RM system—users will still have to be vigilant! </li></ul><ul><li>Training on PantherLink and e-mail management coming Summer 2008 </li></ul>
  27. 27. Above all else… <ul><li>As much as is possible, consider electronic records to be ‘normal’ university records, and treat them as such! </li></ul><ul><li>Stay on top of managing your e-Records, and they won’t spiral out of control! </li></ul>
  28. 28. For More Information <ul><li>State of Wisconsin E-Mail Policy and Guidance </li></ul><ul><ul><li>http:// enterprise.state.wi.us/home/email/Default.htm </li></ul></ul><ul><li>Wisconsin DOA Electronic Records ( See especially the training links) </li></ul><ul><ul><li>http://enterprise.state.wi.us/home/erecords/ </li></ul></ul><ul><li>ADM Ch. 12: Electronic Records </li></ul><ul><ul><li>http://www.legis.state.wi.us/rsb/code/adm/adm012.pdf </li></ul></ul>
  29. 29. UWM Records Management <ul><li>New Records Management Home Page! </li></ul><ul><ul><li>http://www.uwm.edu/Libraries/arch/recordsmgt/ </li></ul></ul><ul><ul><li>Includes links to UWM and UW-System General Records Schedules, webcasts, this presentation </li></ul></ul><ul><li>Or, Contact Records Management directly: </li></ul><ul><ul><li>[email_address] (Brad Houston) </li></ul></ul><ul><ul><li>414-229-6979 </li></ul></ul>
  30. 30. Questions?
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