Using What You Have Electronic Records Management

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Using What You HaveElectronic Records Management
Presented by Leslie Koziara, ERMP November 13,
2009
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• On the average, each employee spends 3.5 hours
  per week every year searching for information
  they cant 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

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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 (PDAs)
• Spreadsheets
• Word documents
• Blogs, Wikis, Twitter

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Youve got all these electronic records

• Now what?

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Use resources you already have

• Retention Schedules
• Existing Staff
• Desktops
• Servers
• You do not need to purchase additional
  technology tools to begin ERM!

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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• Outdated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

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Electronic file cabinets

• Think electronic file cabinets
• Just like traditional metal cabinets
• used for paper, only digitized

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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 can be offline

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Attendance and Leave GS03030
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Attendance Leave RecordsGS03030

• Attendance Leave Records
• GS03030

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File structure exampleGS03030

FY2009
Attendance Leave Records GS03030
FY2009
FY2009
FY2009
John GS03030
Jane GS03030
Joey GS03030
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Next level
FY2009
FY2009
FY2009
John Comp Time GS03030
Jane Comp Time GS03030
Joey Comp Time GS03030
FY2009
FY2009
FY2009
John Annual Leave GS03030
Joey Annual Leave GS03030
Jane Annual Leave GS03030
FY2009
FY2009
FY2009
John Sick Leave GS03030
Jane Sick Leave GS03030
Joey Sick Leave S03030
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Another example
Can add other records series
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Local Govt CORE
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Another example
Additional file folders can be created as
necessary under record series
Additional records series under a category can be
added
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CORE GS50-12D-04
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(No Transcript)
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Law EnforcementLE06C-14 Incident Reports

• INCIDENT REPORTS AND ACCIDENT CLAIMS FOR DAMAGES
  FILED AGAINST THE AGENCY BY OTHER PARTIES, AND BY
  THE AGENCY AGAINST OTHER PARTIES (CLAIMS MADE OR
  PER OCCURRENCE)
• Includes vehicle accidents.
• Accidents/incidents involving adults NOT
  resulting in claims 3 years.
• Accidents/incidents involving adults resulting in
  claims closure plus 6 years.
• Accidents/incidents involving minors NOT
  resulting in claims age of majority plus 3
  years.
• Accidents/incidents involving minors resulting in
  claims - closure plus 6 years.

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Law EnforcementLE12-01-08 Field Reports

• FIELD INTERROGATION REPORTS
• Consists of a limited informational report filled
  out by an officer on persons or vehicles that are
  suspicious at the time or place of contact, not
  of a criminal nature. It records the subjects
  name, address, height, weight, color of hair and
  eyes, date, time and location of occurrence, name
  of associates, officers name who is conducting
  the interrogation and reason(s) stopped. No
  arrests are made or other reports filed of this
  momentary detention.
• Current year plus 1 year.

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(No Transcript)
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Daily maintenance

• EVERYONE has a responsibility for the electronic
  records they use and create
• Daily filing or sorting should be done
• New behaviors take time, and be sure to keep the
  process simple, and train extensively, provide
  help for users (pre-determine files, desk
  guides, cheat sheets)

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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

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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

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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

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• 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

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GS22005
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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
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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
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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

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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

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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)

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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

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

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What about websites?

• Content and function determines retention
• Does website contain information that stays the
  same and doesnt 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

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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

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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?

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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?

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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!

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Contact us

• recordsmanagement_at_secstate.wa.gov

Subscribe to listserv
www.secstate.wa.gov/archives/RecordsManagement Cl
ick on State or Local Government
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Thank you!
Washington State Archives Partners in
preservation and access. www.secstate.wa.gov/archi
ves