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Using What You Have Electronic Records Management

Using What You Have Electronic Records Management. Presented by: Leslie Koziara, ERMP January 26, 2009. In 2008, average worker sent and received 160 emails per day, with a projected growth of 30% per year The average organization makes 19 copies of each document

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Using What You Have Electronic Records Management

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  1. Using What You HaveElectronic Records Management Presented by: Leslie Koziara, ERMP January 26, 2009

  2. In 2008, average worker sent and received 160 emails per day, with a projected growth of 30% per year The average organization makes 19 copies of each document How many emails are in your Inbox? How many in your Sent Items? Too much information!

  3. On the average, each employee spends 3.5 hours per week every year searching for information they can’t find. At an average information-worker salary, that comes to $5,251 per person per year.* How many people are in your agency? *IDC “Hidden Costs of Information Work” white paper

  4. E-mail & attachments Websites Databases Text Messaging Instant Messaging Voice mail (can now be converted to email) Digital photos Scanned documents Outlook calendars Handheld devices (PDA’s) Spreadsheets Word documents Blogs, Wikis, Twitter Regardless of format – and the list keeps getting longer!ELECTRONIC RECORD (Chapter 19.34 RCW) A record generated, communicated, received or stored by electronic means.

  5. You’ve got all these electronic records Now what?

  6. There is currently no magic “one-size-fits-all” solution By implementing records management policies and best practices, you can manage information without investing in additional technology There is no magic bullet

  7. Retention Schedules Existing Staff Desktops Servers You do not need to purchase additional technology tools to begin ERM! Use resources you already have

  8. Save $$$ • Inventory - Know your records! • Create a Data Map (custodians, systems) • Get rid of the ROT in your servers and on the shelves • Redundant • Outdated • Trivial

  9. Think electronic “file cabinets” Just like traditional metal cabinets used for paper, only digitized Electronic file cabinets

  10. Can be individual “drawers” – working files set up in email application Can be work group or section “file cabinets” – files sent to shared drive or server used by group Can be “central files” or “records center” – files sent to central storage or central repository Setting up the files

  11. Attendance and Leave GS03030

  12. Attendance & Leave RecordsGS03030 Attendance & Leave Records GS03030 “Date”

  13. File structure exampleGS03030 2009 Attendance & Leave Records GS03030 2009 2009 2009 John GS03030 Jane GS03030 Joey GS03030

  14. Next level 2009 2009 2009 John Comp Time GS03030 Jane Comp Time GS03030 Joey Comp Time GS03030 2009 2009 2009 John Annual Leave GS03030 Joey Annual Leave GS03030 Jane Annual Leave GS03030 2009 2009 2009 John Sick Leave GS03030 Jane Sick Leave GS03030 Joey Sick Leave S03030

  15. Another example

  16. Local Gov’t CORE

  17. Example

  18. Vendor Payments GS01004 When cut – off is “Date of Document”, it is easier to group by year using the last date of the documents in the file as your cut-off. For instance, the last date in this file for a document is 6/18/2009. Use that date as the cut-off.

  19. File structure exampleGS01004 2009 Vendor Payment Files GS01004 2009 2009 2009 Voucher Distribution Register GS01004 Encumbrance Request GS01004 Certification Report GS01004

  20. You can also… 2009 2009 2009 Field Order Files GS01004 Purchase Orders GS01004 Purchase Requisition GS01004 2009 2009 2009 Copy Center Requests GS01004 Invoice Voucher GS01004 Printing Requisition GS01004 2009 2009 2009 Encumbrance & Liquidation GS01004 Travel Expense Payments GS01004 Inter-Agency Billing GS01004

  21. Another example

  22. Setting it up • Keep it as simple as possible • Classify information in groups • Use existing retention schedules • Revise and create new as needed • Implement “universal knowledge” • Consider both current and future users • Ease of use, keep it simple!

  23. Don’t agonize, organize! • E-mail applications • Shared drive or servers

  24. Daily maintenance • EVERYONE has a responsibility for the electronic records they use and create • Daily “filing” or sorting should be done • Organize from the start, much easier than going back • New behaviors take time, and be sure to keep the process simple, and train extensively, provide help for users (desk guides, cheat sheets)

  25. When using email Just a note • Educate users when drafting emails to provide context by using subject line when drafting messages • Easier to determine content and subject without opening, easier to manage and search

  26. PRO: Saves metadata and remains searchable Can set up consistent file structure CON: Access and use only by individual user – no central storage or access Keeping in email system can slow system down – mailbox limits Random filing practices, 10 people = 10 different ways of filing, 10 different file names, 10 different places to look FILE MANUALLY WITHIN E-MAIL APPLICATION

  27. Individual users move emails into pre-determined folders Users are responsible for decisions on retention and disposition Good to set up as “working files”, or transitory administrative type information Recommend “record” copies be retained on drives & servers or ERM system How it works

  28. Good method to get started, encourages use of retention schedule driven filing • “Record” copies of emails best saved to network server or shared drive • Provides consistency

  29. Can look like this Set up folder, drag and drop - In this case, email has to do with DOP classes and proposed scheduling, which goes under “Conferences and Seminars” which is State General Schedule record series “Conferences and Seminars” DAN # GS 22005

  30. GS22005

  31. Next level Additional folders can be set up to further define the content – under “Conferences and Seminars” specific folders are set up for different events – easy to locate and search, still all under DAN # GS 22005

  32. Adapt as needed Drill down as far as necessary, but keep it simple and easy to use

  33. Using email application folders Remember, you can: • Can match up to folders you set up on network server or shared drive • Match up to retention schedules as well • Again, recommended use is for short-term or temporary retention, use alternative methods for longer term retention and disposition

  34. PRO: Provides consistent method for organizing and retaining electronic records Centralized storage, accessible to multiple users simultaneously Retention and disposition functions better served using drives and servers Can appoint administrators to system FILE MANUALLY IN FOLDERS ONSHARED HARD DRIVES/SERVERS

  35. Designated shared drive is used for storage or “respository” Users save records into specified folders Users can retrieve and move at will Uses standardized naming conventions (controlled vocabulary) Generally no active retention or disposition applied, will need to have applied (IT can help set controls, security) How it works

  36. Centralization makes good sense More effective in event of staff turnover, other “life happens” scenarios Increased search capability for discovery and disclosure Can apply retention and disposition to stored records, can appoint system administrator to manage In addition

  37. Can look like this Conferences & Seminars GS22005 Create file folders in a server or shared drive “electronic file cabinet” as appropriate on a dedicated shared drive or network Marry up with appropriate retention schedules and mirror pre-set e-mail folders

  38. Click Create appropriate file “drawers” and create the folders as necessary in which to “file” your information – all of these are still GS 22005

  39. “Saved As” e-mail E-mail regarding meeting room contract Use the .msg extension, it can saves record copy e-mails electronically and preserve the metadata as well Using classifications and naming conventions make it easier to search and locate the information

  40. Another example As another example, on our shared drive there are folders for the Electronic Imaging Systems Approval This is a unique schedule records series “Requests for Electronic Imaging Systems Approval” DAN 05-11-61010 25 year retention, cut-off is upon request approval

  41. Another click Folders are created under DAN # 05-11-61010 and used by staff for filing documents related to the approval process, and all are managed as a group according to the retention schedule Multiple users can use, distribute, file, locate, and search as necessary, and controls can be created regarding users access, security and for retention purposes

  42. Structure as necessary Under the “EIS Approval” folder, is a “Under Review” folder set up for each applicant for their EIS application, and multiple users can easily locate information as necessary

  43. Adapt your paper files • There is a good chance you already have an existing paper file structure: • Adapt to use for your “electronic file cabinets” • Most users will use a limited number of folders specific to their job function and responsibilities • Create “cheat sheets” or “desk guides” to get users familiar with their new filing system

  44. Content and function determines retention Does website contain information that stays the same and doesn’t change or simply a repository for information kept elsewhere? Does website change often, offer information unavailable in other formats, perform transactions? (Evidence of business) The more dynamic and unique the website, the more important to retain functionality in what is captured and needs to be retained What about websites?

  45. Websites continued… Have boundaries with websites: • Keep only what you need to complete the record • Address INTRANET sites as well • Be sure to include links as necessary • Internal • External

  46. What about databases? • Apply same principles as websites • Content and function • Is it a repository of information held elsewhere? • Does it contain evidence of business transactions not found in another format? • Is the database dynamic with continuous changes, updates?

  47. Blogs, Wikis, Twitter For social networks, or any other technology the same thing applies: Are there public records being created using these formats? Are the records being captured? Are the records being retained, managed and disposed of according to retention schedules?

  48. There are several options depending on your agency needs and resources Use your retention schedules !! Do your homework and plan strategies Plan for the future Migration Recopying Remember, technology happens! Explore your options

  49. Contact us: recordsmanagement@secstate.wa.gov Subscribe to listserv: http://www.secstate.wa.gov/archives/RecordsManagement

  50. Thank you! Washington State Archives: Partners in preservation and access. www.secstate.wa.gov/archives

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