Organizing Electronic Records

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Organizing Electronic Records
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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 (doesnt include .pst
  growth)

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Steps to management

• Create awareness
• Records are Everybodys 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

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Next Steps

• Tools

• Continued awareness

• Additional training

Departmental File Plan
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Organizing Files
File Plan (taxonomy)
Paper Documents
Email
Electronic Documents
Documents in FileNet
Retention Schedule Every Information Asset needs
an identified life span
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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• Control the proliferation of superceded draft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.

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File Plan

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

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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

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Reasons to file/classify

• Makes disposition easier
• Makes it easier to identify records with special
  requirements
• Archival value
• Need for confidential treatment
• Vital records

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Good practices

• Consistency in naming practices for files and
  records
• Identify records and convenience copies if
  possible, dont file together, or else discard
  when records have reached retention expiration

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Benefits

• Fewer duplicates
• Use less storage
• Eliminate inconsistencies
• Everyone on same page
• No rosetta stone needed to find someone elses
  files
• Easier to train new employees

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Best Practice

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

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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

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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

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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

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Current Work Products

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

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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

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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?

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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

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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

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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

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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

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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

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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

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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

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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 organizations paper records indexes
• Document procedure and rules

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Control Versions

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

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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.

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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.

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References

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

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Demo

• Rhonda Lands

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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