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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  • 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.
  • 20110428 ARMA Amarillo Inventory Your Electronic Records

    1. 1. Inventorying Your Electronic Records<br />Jesse Wilkins, CRM<br />April 28, 2011<br />
    2. 2. Introduction to the Records Inventory<br />Sources of Electronic Records<br />Primary Data Gathering Options<br />The Inventory Process<br />Data to Gather<br />Agenda<br />
    3. 3. Introduction<br />
    4. 4. Designed to locate, identify, and describe all agency records<br />Regardless of physical form, media, or location<br />Conducted at the records series level, not the individual item or folder level<br />Forms the foundation for the records program<br />Introduction to the Records Inventory<br />
    5. 5. Identifies the types of records held and any gaps (records that should be held but aren’t)<br />Identifies the location of records<br />Provides an understanding of records volume<br />Identifies essential, confidential, duplicative, and obsolete records<br />Raises staff awareness of the importance of records management<br />Identifies opportunities to streamline work processes<br />Benefits of the Records Inventory<br />
    6. 6. Inventory 101: paper records<br />Go to peoples’ offices and cubicles<br />Count the piles<br />Go to the records center<br />Count the cabinets<br />Count the boxes<br />Go to offsite storage<br />Count the boxes <br />Or review what you’d previously sent offsite<br />Easy to tell when you have a “paper problem”<br />
    7. 7. More challenging than for physical records<br />Non-human-readable nature<br />Volume<br />Variety of locations<br />Need for IT assistance<br />Inventorying electronic records<br />
    8. 8. Sources of Electronic Records<br />
    9. 9. Where electronic records are: applications<br />Centralized locations<br />Enterprise-wide application servers<br />Departmental application servers<br />Network shares<br />Document/record repositories<br />Email servers<br />Legacy systems<br />
    10. 10. Where electronic records are: applications<br />Decentralized locations<br />Application directories on PCs and laptops<br />Standalone applications<br />Network shares<br />My Documents folder on PCs<br />
    11. 11. Where electronic records are: media<br />Centralized locations<br />File servers<br />Libraries<br />Enterprise storage<br />Decentralized locations<br />PCs <br />Optical disks<br />
    12. 12. Where electronic records are: media<br />Removable media<br />Backup media<br />Optical disks<br />Laptops and tablets<br />Smart phones<br />Flash drives<br />External hard disks<br />
    13. 13. Data Gathering Options<br />
    14. 14. Survey<br />Document Analysis/Walkthrough<br />Interviews<br />Process Diagramming<br />Primary Data-Gathering Options<br />
    15. 15. Pros<br />Can be completed very <br /> quickly<br />Lowest cost approach<br />1. Survey<br />Cons<br />Questions open to (mis)interpretation<br />Responses may be vague<br />Closed- vs. open-ended questions<br />Without 100% participation it is easy to miss something<br />
    16. 16. Pros<br />Research is self-guided <br /> and self-paced<br />Exciting finds(!)<br />Looking at documents <br /> and file structures gives <br /> unique perspective to <br /> understand business <br /> processes<br />More appropriate for <br /> physical records<br />2. Document Analysis<br />Cons<br />Research is time-intensive<br />Without feedback, can lead down the wrong path<br />Easy to miss important resources<br />Security an issue<br />Business keeps generating new content – in other words, it's a snapshot in time<br />
    17. 17. Pros<br />Personal contact / relationship-building<br />Interviewee perspective and insights<br />Interviewees lead discussions in directions you may not have considered<br />3. Interviews<br />Cons<br />Scheduling issues<br />Individual perspectives unique, but limited<br />Interviewee is too low/high in department to have required information<br />Manager resistance to employee participation<br />Time-consuming for interviewees<br />Depends on interviewer skill<br />
    18. 18. Pros<br />Delivers comprehensive results quickly<br />Combines interview experience with group processes<br />4. Context Diagramming<br />Cons<br />Not as familiar to staff<br />Time-consuming for interviewees<br />Depends on (staff) interviewer skill<br />
    19. 19. Completed Context Diagram<br />This is not hard to do <br />next slides show how!<br />Quote <br />Request<br />Vendor<br />Manage<br />Supply Chain<br />Quote<br />Purchase<br />Order<br />Material<br />Request<br />Approved<br />PO<br />Operations<br />Proof of Delivery /<br />Packing Slip<br />
    20. 20. Identify work activities or processes<br />Identify the groups that share information<br />Capture the types of information created and received<br />Show inputs and outputs<br />Context Diagramming Steps<br />
    21. 21. Describe Your Business Processes<br />1.<br />Identify work activity or process in the circle<br />Manage<br />Supply Chain<br />
    22. 22. Identify the groups that share information in the squares<br />2.<br />Vendor<br />Manage<br />Supply Chain<br />Operations<br />Identify Internal/External Entities<br />
    23. 23. Brainstorm Document Types<br />3.<br />Capture types of information created and received<br />in the white space<br />Quote <br />Request<br />Vendor<br />Manage<br />Supply Chain<br />Quote<br />Purchase<br />Order<br />Material<br />Request<br />Approved<br />PO<br />Operations<br />Proof of Delivery /<br />Packing Slip<br />
    24. 24. Draw Information Flows<br />4.<br />Show inputs and outputswith arrows<br />Quote <br />Request<br />Vendor<br />Manage<br />Supply Chain<br />Quote<br />Purchase<br />Order<br />Material<br />Request<br />Approved<br />PO<br />Operations<br />Proof of Delivery /<br />Packing Slip<br />
    25. 25. Identify Records<br />5.<br />Inputs and outputs may be records<br />Quote <br />Request<br />Vendor<br />Manage<br />Supply Chain<br />Quote<br />Purchase<br />Order<br />Material<br />Request<br />Approved<br />PO<br />Operations<br />Proof of Delivery /<br />Packing Slip<br />
    26. 26. Context diagramming to identify the majority of record types regardless of media<br />What do you do? <br />What should you have?<br />High-level document/system analysis<br />What do you have that you didn’t catch in the context diagramming?<br />Selected interviews as needed to clarify results of the context diagramming<br />Supplemental electronic records management survey<br />Recommended Approach<br />
    27. 27. The Inventory Process<br />
    28. 28. The inventory process<br />Define the goals of the inventory<br />Identify all departments in the organisation<br />Scope and prioritize the inventory<br />Review departmental work processes<br />Review existing document management policies and procedures<br />Copyright © AIIM | All rights reserved<br />
    29. 29. The inventory process<br />Identify and review departmental document repositories<br />Interview targeted personnel<br />Create a list of documents for the department<br />Review the contents of organizational repositories<br />Copyright © AIIM | All rights reserved<br />
    30. 30. The inventory process<br />Create log of all repositories in the organisation<br />Create final organisation-wide inventory<br />Create process for updating inventory<br />Copyright © AIIM | All rights reserved<br />
    31. 31. Data to Gather<br />
    32. 32. The essential information<br />What the record is (format, type)<br />What application creates it<br />What applications are used to access it<br />Whether compression is present and type<br />Whether encryption is present and type<br />Date created<br />Date last changed if applicable<br />Physical or logical location<br />Media, server, repository<br />
    33. 33. The essential information<br />Whether there are other renditions, versions, or copies<br />Word and PDF and HTML and…<br />Descriptions of indexes, if any<br />Metadata fields*<br />What department owns it<br />What departments/users access it<br />
    34. 34. The essential information<br />Vital records<br />Sensitive records<br />Personal information<br />Financial information<br />Etc. <br />Historical value<br />
    35. 35. Other data of value<br />File size<br />Media characteristics and tracking<br />Estimated growth<br />Relationship to physical records, if any<br />Relationship to other electronic records and systems<br />Example: inputs/outputs, compound records<br />Specific operating system considerations<br />File format, creating application<br />
    36. 36. Example inventory form - MN<br />
    37. 37. Example inventory form - MN<br />
    38. 38. Example inventory form - MN<br />
    39. 39. Questions?<br />
    40. 40. Jesse Wilkins, CRM<br />Director, Systems of Engagement<br />AIIM<br /> +1 (303) 574-0749 direct<br />jwilkins@aiim.org<br /> http://www.twitter.com/jessewilkins<br /> http://www.linkedin.com/in/jessewilkins<br /> http://www.facebook.com/jessewilkins<br /> http://www.slideshare.net/jessewilkins<br />For more information<br />

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