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Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
Electronic Records Management
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Electronic Records Management

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Presentation on Electronic records management, originally presented at UWM January 16, 2008

Presentation on Electronic records management, originally presented at UWM January 16, 2008

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  • 1. Electronic Records Management Identifying, Organizing, and Preserving your e-records
  • 2. The Problem with Electronic Records <ul><li>Massive Volume of e-Records </li></ul><ul><ul><li>Increases by 30% per annum </li></ul></ul><ul><li>Volume of unnecessary e-Records </li></ul><ul><ul><li>30-60% of all stored documents are copies </li></ul></ul><ul><li>Electronic Non- records </li></ul><ul><ul><li>“90% of what I get is Spam…” </li></ul></ul><ul><li>Ephemeral Nature of e-Records </li></ul><ul><ul><li>‘Surrogacy’ issue </li></ul></ul><ul><ul><li>Limited control over organization </li></ul></ul>
  • 3. The Problem, cont. <ul><li>Information Security </li></ul><ul><ul><li>Who’s looking at your records? </li></ul></ul><ul><ul><li>How to protect confidential e-recs? </li></ul></ul><ul><li>Record Authenticity </li></ul><ul><ul><li>Legal issues re: file changes ( Zubulake) </li></ul></ul><ul><li>Long-term preservation? </li></ul><ul><ul><li>File Format? </li></ul></ul><ul><ul><li>Physical Medium? </li></ul></ul>
  • 4. Part I: Identifying and Authenticating your e-Records
  • 5. 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>
  • 6. 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
  • 7. 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>
  • 8. Record vs. Non-Record: Examples <ul><li>E-mail to contractor clarifying terms: Record! </li></ul><ul><li>E-mail from department head to staff giving committee assignments: Record! </li></ul><ul><ul><li>Sender must retain as record; recipient(s) may delete as appropriate </li></ul></ul><ul><li>Draft of a report: Non-Record! </li></ul><ul><ul><li>The final report will be a record, however </li></ul></ul>
  • 9. Copy of Record <ul><li>The official record, for business and legal purposes, of a business transaction </li></ul><ul><ul><li>If you take any action on a document, that document becomes YOUR record, even if other copies are maintained elsewhere </li></ul></ul><ul><ul><li>EXCEPTION: Convenience copies may be discarded freely </li></ul></ul>
  • 10. Copy of Record: Examples <ul><li>If you create a document as part of your everyday work, you are the record holder </li></ul><ul><li>If you manage or lead a committee, project, or program, you are the record holder </li></ul><ul><li>If you are holding a received record for reference, you are NOT the record holder </li></ul><ul><ul><li>Sender usually record holder in these cases </li></ul></ul>
  • 11. The Authenticity Problem <ul><li>Electronic records are inherently malleable </li></ul><ul><ul><li>May be modified after creation (esp. desktop!) </li></ul></ul><ul><li>Electronic records are inherently surrogate </li></ul><ul><ul><li>The actual ‘record’ the magnetic pattern on server or hard drive </li></ul></ul><ul><li>Electronic records are inherently unstable </li></ul><ul><ul><li>Need for migration, etc. often damages integrity of file </li></ul></ul>
  • 12. The Authenticity Solution? <ul><li>FRE 803(6): Authenticity is presumed if University relies on the records </li></ul><ul><li>Some possibilities for verifying authenticity </li></ul><ul><ul><li>Versioning? </li></ul></ul><ul><ul><li>Read-Only Protection/Digital Signatures? </li></ul></ul><ul><ul><li>Fixed Form/Stable Content conversion? (e.g. save as PDF) </li></ul></ul><ul><li>Ultimately, these solutions only as useful as records creators are vigilant </li></ul>
  • 13. Part II: e-Records Creation and Maintenance
  • 14. 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>
  • 15. What’s In A Name? <ul><li>File names should be as descriptive as possible </li></ul><ul><li>In case of email or other machine-generated titles, use subject as descriptor </li></ul>PurchasesFY07.mdb Purchases.mdb Subj: Project X Contact Info and wiki address Subj: Helpful Info ITSecurityMinutes1-08.doc Minutes.doc Better/Descriptive Poor/Confusing
  • 16. 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>
  • 17. 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>
  • 18. 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>
  • 19. 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>
  • 20. Filing System: E-mail <ul><li>Keep all emails in your inbox </li></ul><ul><ul><li>Advantages: Easy; computer-aided searching </li></ul></ul><ul><ul><li>Disadvantages: Inbox clutter, manual searching </li></ul></ul><ul><li>Foldering Scheme </li></ul><ul><ul><li>Advantages: retain context; manual searching; reduces inbox clutter </li></ul></ul><ul><ul><li>Disadvantages: Large implementation and maintenance requirement </li></ul></ul>
  • 21. Hybrid System for Email <ul><li>Delete non-record email as needed </li></ul><ul><li>Manually file 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>
  • 22. The Cardinal Rule of Filing/Naming <ul><li>Be Consistent!!!! </li></ul>
  • 23. Part III: E-Records Retention and Disposition
  • 24. 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>
  • 25. 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>
  • 26. 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>
  • 27. Sample RRDA
  • 28. 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>
  • 29. 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>
  • 30. 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>
  • 31. 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>
  • 32. Geof Huth’s ‘Three Ms’ <ul><li>Message : Is the content of the document adequately preserved? </li></ul><ul><li>Media : Is the storage medium durable enough to retain its integrity over time? </li></ul><ul><li>Metadata : Is there enough supplementary info to contextualize the document? </li></ul><ul><li>If you lose even one of these components of an electronic record, you have not adequately preserved it . </li></ul>
  • 33. A Brief Sidenote on Metadata <ul><li>Metadata : A characterization or description documenting the identification, management, nature, use, or location of information resources (data) </li></ul><ul><ul><li>Inherent metadata (email headers, date of creation, document author, etc.) </li></ul></ul><ul><ul><li>User-supplied metadata (tags, categories, abstracts, etc.) </li></ul></ul><ul><li>Critical for document search, context </li></ul>
  • 34. 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>
  • 35. 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>
  • 36. Preservation Solution #3: Neutral Format Storage <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><ul><ul><li>UWM Archives, UITS searching for mass-conversion tool </li></ul></ul>
  • 37. 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>
  • 38. 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>
  • 39. 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>
  • 40. 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>
  • 41. For More Information <ul><li>UW System Policy on Use of University Information Technology Resources http://www.uwsa.edu/president/communications/publicat/itpolicy.htm </li></ul><ul><li>UITS Short Courses (The Email Management course is particularly useful) </li></ul><ul><li>https://www4.uwm.edu/uits/services/training/courses/index.cfm </li></ul>
  • 42. Wisconsin 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>
  • 43. 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>
  • 44. Questions?

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