20110414 ARMA Twin Cities Inventorying Electronic Records
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20110414 ARMA Twin Cities Inventorying Electronic Records

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This presentation describes where electronic files can be found, how to inventory them, and what information to gather as part of the inventory process.

This presentation describes where electronic files can be found, how to inventory them, and what information to gather as part of the inventory process.

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  • Here is a methodology for conducting an information inventory. We start with the recommendation that the organisation conduct the inventory as a series of department- or business-unit-level mini-inventories. Taken together, the department inventories comprise an organisational inventory. Identify all the departments in the organisation. Scope and plan a data collection strategy that enables you to engage one or two departments at a time. For each department, Set up appointments to interview some or all department employees about their documents. Prior to interviewing, where possible, review the department’s processes to learn about their work. Prior to interviewing, review existing document management policies and procedures at the departmental and organisational level.
  • 5. Prior to interviewing and where you can gain access, review the contents of departmental file shares and document repositories 6. Interview department employees about their documents. Take detailed notes and ask clarifying questions to ensure that no processes or document types are missed. Pay particular attention to both physical and electronic documents. 7. Create a list of documents for the department. 8. Examine the contents of any organisation-wide document repositories, such as intranets. Record the findings in an inventory list.
  • 9. Create a log of all data repositories used in the organisation. This includes: File shares Email servers ERMS repositories Back-up servers File cabinets Off-site storage areas Preserve the departmental inventories until all inventories are complete. 10. When you have covered all departments, assemble a single, organisation-wide inventory. 11. Create a process and a timeline for periodically updating the inventory.
  • At this point I’d be pleased to entertain your questions.

Transcript

  • 1. Jesse Wilkins, CRM April 14, 2011
  • 2.
    • International - Members in 146 countries
    • Independent - Unbiased and vendor neutral
    • Implementation Focused - Processes, not just technology
    • Industry Intermediary - users, suppliers, consultants, analysts, and the channel
    • http://www.aiim.org
  • 3.
    • Director, Systems of Engagement, AIIM
    • Background in electronic records management, email management, ECM, and social technologies
    • Director, ARMA International Board of Directors (2007-2010)
    • Frequent industry speaker and and author
    • AIIM ERM and E2.0 Expert Blogger
    • Instructor for AIIM Certificate Programs
  • 4.
    • Introduction to the Records Inventory
    • Sources of Electronic Records
    • Primary Data Gathering Options
    • The Inventory Process
    • Data to Gather
  • 5.  
  • 6.
    • Designed to locate, identify, and describe all agency records
    • Regardless of physical form, media, or location
    • Conducted at the records series level, not the individual item or folder level
    • Forms the foundation for the records program
  • 7.
    • Identifies the types of records held and any gaps (records that should be held but aren’t)
    • Identifies the location of records
    • Provides an understanding of records volume
    • Identifies essential, confidential, duplicative, and obsolete records
    • Raises staff awareness of the importance of records management
    • Identifies opportunities to streamline work processes
  • 8.
    • Go to peoples’ offices and cubicles
      • Count the piles
    • Go to the records center
      • Count the cabinets
      • Count the boxes
    • Go to offsite storage
      • Count the boxes
      • Or review what you’d previously sent offsite
    • Easy to tell when you have a “paper problem”
  • 9.
    • More challenging than for physical records
      • Non-human-readable nature
      • Volume
      • Variety of locations
    • Need for IT assistance
  • 10.  
  • 11.
    • Centralized locations
      • Enterprise-wide application servers
      • Departmental application servers
      • Network shares
      • Document/record repositories
      • Email servers
      • Legacy systems
  • 12.
    • Decentralized locations
      • Application directories on PCs and laptops
      • Standalone applications
      • Network shares
      • My Documents folder on PCs
  • 13.
    • Centralized locations
      • File servers
      • Libraries
      • Enterprise storage
    • Decentralized locations
      • PCs
      • Optical disks
  • 14.
    • Removable media
      • Backup media
      • Optical disks
      • Laptops and tablets
      • Smart phones
      • Flash drives
      • External hard disks
  • 15.  
  • 16.
    • Survey
    • Document Analysis/Walkthrough
    • Interviews
    • Process Diagramming
  • 17.
    • Pros
    • Can be completed very
    • quickly
    • Lowest cost approach
    • Cons
    • Questions open to (mis)interpretation
    • Responses may be vague
    • Closed- vs. open-ended questions
    • Without 100% participation it is easy to miss something
  • 18.
    • Pros
    • Research is self-guided
    • and self-paced
    • Exciting finds(!)
    • Looking at documents
    • and file structures gives
    • unique perspective to
    • understand business
    • processes
    • More appropriate for
    • physical records
    • Cons
    • Research is time-intensive
    • Without feedback, can lead down the wrong path
    • Easy to miss important resources
    • Security an issue
    • Business keeps generating new content – in other words, it's a snapshot in time
  • 19.
    • Pros
    • Personal contact / relationship-building
    • Interviewee perspective and insights
    • Interviewees lead discussions in directions you may not have considered
    • Cons
    • Scheduling issues
    • Individual perspectives unique, but limited
    • Interviewee is too low/high in department to have required information
    • Manager resistance to employee participation
    • Time-consuming for interviewees
    • Depends on interviewer skill
  • 20.
    • Pros
    • Delivers comprehensive results quickly
    • Combines interview experience with group processes
    • Cons
    • Not as familiar to staff
    • Time-consuming for interviewees
    • Depends on (staff) interviewer skill
  • 21. Manage Supply Chain Vendor Operations Quote Request Quote Purchase Order Proof of Delivery / Packing Slip Approved PO Material Request This is not hard to do  next slides show how!
  • 22.
    • Identify work activities or processes
    • Identify the groups that share information
    • Capture the types of information created and received
    • Show inputs and outputs
  • 23. Identify work activity or process in the circle Manage Supply Chain 1.
  • 24. Identify the groups that share information in the squares Manage Supply Chain Vendor Operations 2.
  • 25. Capture types of information created and received in the white space Manage Supply Chain Vendor Operations Quote Request Quote Purchase Order Proof of Delivery / Packing Slip Approved PO Material Request 3.
  • 26. Manage Supply Chain Vendor Operations Quote Request Quote Purchase Order Proof of Delivery / Packing Slip Approved PO Material Request Show inputs and outputs with arrows 4.
  • 27. Manage Supply Chain Vendor Operations Quote Request Quote Purchase Order Proof of Delivery / Packing Slip Approved PO Material Request Inputs and outputs may be records 5.
  • 28.
    • Context diagramming to identify the majority of record types regardless of media
      • What do you do?
      • What should you have?
    • High-level document/system analysis
      • What do you have that you didn’t catch in the context diagramming?
    • Selected interviews as needed to clarify results of the context diagramming
    • Supplemental electronic records management survey
  • 29.  
  • 30.
    • Define the goals of the inventory
    • Identify all departments in the organisation
    • Scope and prioritize the inventory
    • Review departmental work processes
    • Review existing document management policies and procedures
    Copyright © AIIM | All rights reserved
  • 31.
    • Identify and review departmental document repositories
    • Interview targeted personnel
    • Create a list of documents for the department
    • Review the contents of organizational repositories
    Copyright © AIIM | All rights reserved
  • 32.
    • Create log of all repositories in the organisation
    • Create final organisation-wide inventory
    • Create process for updating inventory
    Copyright © AIIM | All rights reserved
  • 33.  
  • 34.
    • What the record is (format, type)
    • What application creates it
    • What applications are used to access it
    • Whether compression is present and type
    • Whether encryption is present and type
    • Date created
      • Date last changed if applicable
    • Physical or logical location
      • Media, server, repository
  • 35.
    • Whether there are other renditions, versions, or copies
      • Word and PDF and HTML and…
    • Descriptions of indexes, if any
    • Metadata fields*
    • What department owns it
    • What departments/users access it
  • 36.
    • Vital records
    • Sensitive records
      • Personal information
      • Financial information
      • Etc.
    • Historical value
  • 37.
    • File size
    • Media characteristics and tracking
    • Estimated growth
    • Relationship to physical records, if any
    • Relationship to other electronic records and systems
      • Example: inputs/outputs, compound records
    • Specific operating system considerations
      • File format, creating application
  • 38.  
  • 39.  
  • 40.  
  • 41.  
  • 42.
    • Jesse Wilkins, CRM, CDIA+
    • Director, Systems of Engagement
    • AIIM International
    • +1 (303) 574-0749 direct
    • jwilkins@aiim.org
    • http://www.twitter.com/jessewilkins
    • http://www.linkedin.com/in/jessewilkins
    • http://www.facebook.com/jessewilkins
    • http://www.slideshare.net/jessewilkins