20110428 ARMA Amarillo Inventory Your Electronic Records
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This presentation at the ARMA Amarillo Spring Seminar described approaches for conducting an inventory of electronic records.
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20110428 ARMA Amarillo Inventory Your Electronic Records
- 1. Inventorying Your Electronic Records Jesse Wilkins, CRM April 28, 2011
- 2. Introduction to the Records Inventory Sources of Electronic Records Primary Data Gathering Options The Inventory Process Data to Gather Agenda
- 3. Introduction
- 4. 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 Introduction to the Records Inventory
- 5. 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 Benefits of the Records Inventory
- 6. Inventory 101: paper records 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”
- 7. More challenging than for physical records Non-human-readable nature Volume Variety of locations Need for IT assistance Inventorying electronic records
- 8. Sources of Electronic Records
- 9. Where electronic records are: applications Centralized locations Enterprise-wide application servers Departmental application servers Network shares Document/record repositories Email servers Legacy systems
- 10. Where electronic records are: applications Decentralized locations Application directories on PCs and laptops Standalone applications Network shares My Documents folder on PCs
- 11. Where electronic records are: media Centralized locations File servers Libraries Enterprise storage Decentralized locations PCs Optical disks
- 12. Where electronic records are: media Removable media Backup media Optical disks Laptops and tablets Smart phones Flash drives External hard disks
- 14. Survey Document Analysis/Walkthrough Interviews Process Diagramming Primary Data-Gathering Options
- 15. Pros Can be completed very quickly Lowest cost approach 1. Survey Cons Questions open to (mis)interpretation Responses may be vague Closed- vs. open-ended questions Without 100% participation it is easy to miss something
- 16. 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 2. Document Analysis 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
- 17. Pros Personal contact / relationship-building Interviewee perspective and insights Interviewees lead discussions in directions you may not have considered 3. Interviews 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
- 18. Pros Delivers comprehensive results quickly Combines interview experience with group processes 4. Context Diagramming Cons Not as familiar to staff Time-consuming for interviewees Depends on (staff) interviewer skill
- 19. Completed Context Diagram This is not hard to do next slides show how! Quote Request Vendor Manage Supply Chain Quote Purchase Order Material Request Approved PO Operations Proof of Delivery / Packing Slip
- 20. Identify work activities or processes Identify the groups that share information Capture the types of information created and received Show inputs and outputs Context Diagramming Steps
- 21. Describe Your Business Processes 1. Identify work activity or process in the circle Manage Supply Chain
- 22. Identify the groups that share information in the squares 2. Vendor Manage Supply Chain Operations Identify Internal/External Entities
- 23. Brainstorm Document Types 3. Capture types of information created and received in the white space Quote Request Vendor Manage Supply Chain Quote Purchase Order Material Request Approved PO Operations Proof of Delivery / Packing Slip
- 24. Draw Information Flows 4. Show inputs and outputswith arrows Quote Request Vendor Manage Supply Chain Quote Purchase Order Material Request Approved PO Operations Proof of Delivery / Packing Slip
- 25. Identify Records 5. Inputs and outputs may be records Quote Request Vendor Manage Supply Chain Quote Purchase Order Material Request Approved PO Operations Proof of Delivery / Packing Slip
- 26. 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 Recommended Approach
- 28. The inventory process 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
- 29. The inventory process 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
- 30. The inventory process Create log of all repositories in the organisation Create final organisation-wide inventory Create process for updating inventory Copyright © AIIM | All rights reserved
- 31. Data to Gather
- 32. The essential information 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
- 33. The essential information 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
- 34. The essential information Vital records Sensitive records Personal information Financial information Etc. Historical value
- 35. Other data of value 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
- 36. Example inventory form - MN
- 37. Example inventory form - MN
- 38. Example inventory form - MN
- 39. Questions?
- 40. Jesse Wilkins, CRM Director, Systems of Engagement AIIM +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 For more information
Editor's Notes
- 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 repositories6. 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 sharesEmail serversERMS repositoriesBack-up serversFile cabinetsOff-site storage areasPreserve 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.