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Organizing Electronic Records

Organizing Electronic Records. Unmanaged Electronic Documents. Total storage up 26% from April 2004 – April 2005 Over one-fourth of the storage is taken up by email Email growth rate is 59% (doesn’t include .pst growth). Steps to management . Create awareness

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Organizing Electronic Records

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  1. Organizing Electronic Records

  2. Unmanaged Electronic Documents • Total storage up 26% from April 2004 – April 2005 • Over one-fourth of the storage is taken up by email • Email growth rate is 59% (doesn’t include .pst growth)

  3. Steps to management • Create awareness • Records are Everybody’s Business • Email may be records • Basic information on what to keep/discard • Records Coordinator Training • Discussions of file plans • Guidance on best practices • Information to use for working with departmental staff

  4. Next Steps • Tools • Continued awareness • Additional training Departmental File Plan

  5. Organizing Files File Plan (taxonomy) Email Paper Documents Electronic Documents Documents in FileNet Retention Schedule “Every Information Asset needs an identified life span”

  6. Goals • Find documents when you need them. • Find the most recent or final document in electronic form. • Control use of and edits to documents. • Create a tickler file for time sensitive actions. • Control the proliferation of superceded draft documents. • Organize existing shared workspace.

  7. File Plan • Structure for putting like records together • Classifying records into groups • File folders • Nested file folders • Indexes • Naming conventions • Dates • Written • Includes procedures

  8. Reasons to file/classify • Easier retrieval • Association of documents to provide continuous record of activity related to a particular matter • Put documents with same requirements together • Security • Same group of users need access • Retention requirements

  9. Reasons to file/classify • Makes disposition easier • Makes it easier to identify records with special requirements • Archival value • Need for confidential treatment • Vital records

  10. Good practices • Consistency in naming practices for files and records • Identify records and convenience copies – if possible, don’t file together, or else discard when records have reached retention expiration

  11. Benefits • Fewer duplicates • Use less storage • Eliminate inconsistencies • Everyone on same page • No rosetta stone needed to find someone else’s files • Easier to train new employees

  12. Best Practice • File plan in a database • Same file plan can be used • Email folders • Paper files • Electronic files • Committal to document management system

  13. Shared Folders • Confused, uncontrolled hierarchy of folders and document titles • Ad hoc management of documents • Little or no metadata • Access and security - too much or too little • Difficult to identify sequences of documents that relate to one business process

  14. The Problems with Sharing • Version control • Unnumbered drafts, evolving filenames, multiple users, editors, or writers • Accumulation of non-records • False starts, reference only material, personal notes, communication debris • Multiple copies of records • Incomplete versions, cut and paste additions

  15. Current Work Practices • Where do employees currently store electronic documents? • PC C-Drive (only personal files!!) • Shared Network Directory • Personal Network Directory • Removable - CD, DVD, flash drive • Portable - Laptops, PDAs

  16. Current Work Products • What kinds of documents do employees store, maintain, retrieve? • E-mail • Correspondence • Meeting Notes • Draft Policy Documents • Presentations • Forms • Reference

  17. Current Electronic Formats • What electronic formats do employees choose for stored documents? • Word Processing • Portable Document Format (PDF) • Spreadsheets • Digital Photographs (JPG) • The list goes on…

  18. Current Organizing Framework • How do the files now reside on the network? Are they organized by: • Project or Case or Function? • Agency File Plan? • Individual Preferences? • By the plan of the moment?

  19. Taking Control • Enlist Management Support • Awareness and plan • Designate an E-Workspace Coordinator • Central Source of Planning, Direction and Maintenance • Create a Network Plan • May already exist • Develop a File Plan • Create Folders • Train users

  20. Who will use the system? • Identify active users who • Create documents • Reference electronic documents • Work in groups to write and edit • Use templates and forms • Identify the E-Workspace Coordinator • Familiar with the records • Knowledge of records management • Will be assigned to maintain the E-Workspace

  21. Create a File Plan • Identify an organizing principle that will make sense to most of the users. • Functional organization • Project, Case Files • Administrative • Personnel • Training • Travel • Litigation

  22. Example - 1 • Budget • FY 2002 • Budget Projections • Drafts • 02PROJ_DFTA.xls • Final • 02PROJ_FINL.xls • Expenditures • Contracts • Closed, Completed • NAME01_CON.wpd • Open, In Progress • Drafts • Correspondence

  23. Example - 2 • FY2002 • Contracts • Closed, Completed • NAME01_CON.wpd • Open, In Progress • NAME99_CON.wpd • Drafts • NAME02_DFT_CON.wpd • Signed Correspondence • 03032002_LTR.pdf • 04152002_MEM.pdf

  24. Example - 3 • Contracts • FY2002 • Closed, Completed • NAME01_CON.wpd • Open, In Progress • NAME99_CON.wpd • FY2003 • Closed, Completed • NAME03_CON.wpd • Open, In Progress • NAME02_CON.wpd

  25. Alternative plan considerations • Identify an organizing principle that will make sense to most of the users. • Mission related activities broken into sub-groups • Project Name • Drafts • Reference Materials • Documentation • Case Number • Document type • Date

  26. Naming Conventions • Consistency in naming folders/files • Assists in providing maintenance • Assists in locating files • Assists in determining ownership • Controlled vocabulary • Clear mnemonic filenames • Eliminates use of synonyms • Restricts use of personal names • Keep short • Relates to organization’s paper records indexes • Document procedure and rules

  27. Control Versions • Naming suffixes (DFT, FNL) • Numbering suffixes (001, 002) • Benefits • Indicates versions that can be deleted • Clearly identifies final documents

  28. Maintenance and Change Management • Actively oversee the life of the e-files • Maintain relevant documents. • Delete documents that no longer have a useful life. • Maintain an updated E-File Plan. • Train and engage the cooperation of new staff. • Add new folders for new program areas. • Go with the paper flow in electronic form.

  29. Basic Steps • The vocal support of management. • A written plan. • A written agreement on procedures and protocols among users. • Assign an E-workspace coordinator. • Get assistance from Records Manager or IT. • Maintain, update, change E-workspace as the paper workplace changes.

  30. References • National Archives and Records Administration • www.archives.gov • Electronic Desktop Management Guidelines. Harvard University Archives. 2001. • http://hul.harvard.edu/rmo/downloads/ElectronicDesktop ManagementGuidelines.pdf

  31. Demo • Rhonda Lands

  32. General Info • Revised timeframe for meetings/schedule revisions • Disposition logs • Time and leave records change in the works • Electronic Records Management team • Advisory committee • Fun meeting planned for next month • Interactive • Door prizes

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