Using What You HaveElectronic Records Management

Presented by:

Leslie Koziara, ERMP

January 26, 2009

Too much information!

• 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?

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

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.

• 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

You’ve got all these electronic records

Now what?

There is no magic bullet

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

Use resources you already have

• Retention Schedules

• Existing Staff

• Desktops

• Servers

You do not need to purchase additional technology tools to begin ERM!

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• Get rid of the ROT in your servers and on the shelves– Redundant– Outdated– Trivial

Electronic file cabinets

Think electronic “file cabinets”

Just like traditional metal cabinets

used for paper, only digitized

Setting up the files

• 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

Attendance and Leave GS03030

Attendance & Leave RecordsGS03030

Attendance & Leave Records

GS03030

“Date”

Attendance & Leave Records

GS03030

“Date”

File structure exampleGS03030

2009

2009 2009 2009

John GS03030

JaneGS03030

JoeyGS03030

Attendance & Leave Records

GS03030

Next level

JaneComp TimeGS03030

JoeyComp TimeGS03030

JohnAnnual Leave

GS03030

JaneAnnual Leave

GS03030

JoeyAnnual Leave

GS03030

JohnSick Leave

GS03030

JaneSick LeaveGS03030

JoeySick Leave

S03030

JohnComp TimeGS03030

2009 2009 2009

2009 2009 2009

2009 2009 2009

Another example

Local Gov’t CORE

Example

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.

File structure exampleGS01004

2009

2009 2009 2009

VoucherDistribution

Register GS01004

Encumbrance RequestGS01004

Certification Report

GS01004

Vendor PaymentFiles

GS01004

You can also…

Purchase Orders GS01004

Field Order FilesGS01004

Purchase RequisitionGS01004

Invoice VoucherGS01004

Printing RequisitionGS01004

Copy Center RequestsGS01004

Travel Expense PaymentsGS01004

Inter-AgencyBilling

GS01004

Encumbrance &LiquidationGS01004

2009 2009 2009

2009 2009 2009

2009 2009 2009

Another example

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!

Don’t agonize, organize!

• E-mail applications

• Shared drive or servers

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)

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

FILE MANUALLY WITHIN E-MAIL APPLICATION

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

How it works• 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

• 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

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

GS22005

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

Adapt as needed

Drill down as far as necessary, but keep it simple and easy to use

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

FILE MANUALLY IN FOLDERS ONSHARED HARD DRIVES/SERVERS

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

How it works• 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)

In addition• 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

Can look like this

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

Conferences & Seminars

GS22005

Click

Create appropriate file “drawers” and create the folders as necessary in

which to “file” your information – all of these are still GS 22005

“Saved As” e-mail

Use the .msg extension, it can saves record copye-mails electronically and preserve the metadata as well

Using classifications and naming conventions make it easier to search and locate the information

E-mail regarding meeting room contract

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

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

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

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

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?

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

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?

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?

Explore your options• 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!

Contact us:

recordsmanagement@secstate.wa.gov

Subscribe to listserv:

http://www.secstate.wa.gov/archives/RecordsManagement

Washington State Archives: Partners in preservation and access.

www.secstate.wa.gov/archives

Thank you!