KEEP It, FILE It, Share It, DELETE It, SHRED It or Archive It
"Delete it Or Keep It?"
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Transcript of "Delete it Or Keep It?"
Delete it or Keep it?Delete it or Keep it?Managing Your E-RecordsManaging Your E-Records
Brad Houston, UWM Records OfficerBrad Houston, UWM Records Officer
CIO Briefing– February 13, 2008CIO Briefing– February 13, 2008
What is a record?What is a record?
RecordsRecords: Recorded information, in any : Recorded information, in any format, that allows an office to conduct format, that allows an office to conduct businessbusiness Does NOT include unofficial records:Does NOT include unofficial records:
Duplicate CopiesDuplicate Copies Drafts and Informal NotesDrafts and Informal Notes Routing SlipsRouting Slips Personal CorrespondencePersonal Correspondence
““Does this document help me perform the Does this document help me perform the duties in my job description?”duties in my job description?”
Electronic RecordsElectronic Records
Value of a record determined by Value of a record determined by contentcontent,, not not formatformat!!
Electronic RecordElectronic Record Paper AnalogPaper Analog
E-mail messageE-mail message Memo, typed letterMemo, typed letter
E-Form templateE-Form template Form master copyForm master copy
Museum accessions Museum accessions databasedatabase
Accession card catalogAccession card catalog
Student paper (e-mailed Student paper (e-mailed or D2L-submitted)or D2L-submitted)
Student paper submitted Student paper submitted in class or via mailin class or via mail
Instant message logInstant message log Memorandum of Memorandum of conversationconversation
Is it an Electronic Record?Is it an Electronic Record?
Does your file:Does your file: Support or document a transaction?Support or document a transaction? Document the formulation or execution of a policy, Document the formulation or execution of a policy,
interpretation of a policy, or change of policy?interpretation of a policy, or change of policy? Document Actions taken in response to an inquiry?Document Actions taken in response to an inquiry? Relate to the Relate to the substantivesubstantive business of your office business of your office
or work unit?or work unit? Provide information regarding the historical Provide information regarding the historical
development of UWM programs or people?development of UWM programs or people?
If “yes” to any of the above, If “yes” to any of the above, it is a record!it is a record!
Why do I need to keep e-recs?Why do I need to keep e-recs?
To document the operations of your officeTo document the operations of your office To document important programmatic To document important programmatic
decisionsdecisions To preserve the history of your office and To preserve the history of your office and
UWMUWM To provide legal protection for your officeTo provide legal protection for your office To comply with Wisconsin state law!To comply with Wisconsin state law!
Wis. Stats. 16.61; Wis. Stats. 36.19Wis. Stats. 16.61; Wis. Stats. 36.19
Why do I need to DESTROY e-Why do I need to DESTROY e-recs?recs?
To use less server spaceTo use less server space To reduce the clutter in your inbox and on To reduce the clutter in your inbox and on
your desktopyour desktop To avoid confusion about which file is the To avoid confusion about which file is the
record copyrecord copy To provide legal protection for your officeTo provide legal protection for your office
Not All Records Are Created EqualNot All Records Are Created Equal
Desktop Application RecordsDesktop Application Records Ex: Word documents; databases; imaged Ex: Word documents; databases; imaged
copies of paper documentscopies of paper documents E-mail RecordsE-mail Records
Ex: Transitory messages; routine Ex: Transitory messages; routine correspondence; policy/procedures correspondence; policy/procedures correspondencecorrespondence
Web InformationWeb Information Ex: HTML files; CSS style sheets; blogsEx: HTML files; CSS style sheets; blogs
Filenames: Just DUIT!Filenames: Just DUIT!
Date
Unique
Identifier
Type
012408
InfoSecurity
minutes
012408InfoSecurityminutes.doc
Tagging and ClassifyingTagging and Classifying
Benefits of ‘tagging’ and ‘folksonomy’Benefits of ‘tagging’ and ‘folksonomy’ Develop office-wide categories to describe Develop office-wide categories to describe
documentsdocuments Working with other departments on this allows Working with other departments on this allows
categories to work on broader scale, more categories to work on broader scale, more consistentlyconsistently
From there….?From there….? Tag/Categorize documents Tag/Categorize documents as they are as they are
createdcreated
Filing System: Desktop/WebFiling System: Desktop/Web
Your computer/server is your filing cabinet; Your computer/server is your filing cabinet; the directories are your drawers/foldersthe directories are your drawers/folders
Advantage over paper filing: multi-level Advantage over paper filing: multi-level hierarchy!hierarchy! Allows greater control over organization– Allows greater control over organization– if if
you keep up with ityou keep up with it
Keep record series (groups of functionally-Keep record series (groups of functionally-related records) separaterelated records) separate
Desktop Filing SuggestionsDesktop Filing Suggestions
AlphabeticallyAlphabetically Good for student files, personnel, etc.Good for student files, personnel, etc. Automatic arrangement, but low org. controlAutomatic arrangement, but low org. control
ChronologicallyChronologically Good for activity tracking, financial recs, etc.Good for activity tracking, financial recs, etc. Useful for keeping track of dispositionUseful for keeping track of disposition
SubjectSubject Good for administrative/reference filesGood for administrative/reference files Most versatile, requires most vigilanceMost versatile, requires most vigilance
Hybrid FilingHybrid Filing
Combining one or more of the filing Combining one or more of the filing archetypes to fulfill reference/retention archetypes to fulfill reference/retention needsneeds
Example:Example: Reference CorrespondenceReference Correspondence
FY2006FY2006 NovemberNovember
Smith, ASmith, A Smith, KSmith, K
Filing System for EmailFiling System for Email
Delete non-record email as neededDelete non-record email as needed Manually file/folder emails for Manually file/folder emails for
reference/retention, OR set up filtersreference/retention, OR set up filters Filter by sender, subject line, recipient, etc. Filter by sender, subject line, recipient, etc.
partially automates filingpartially automates filing
Leave emails in inbox that require quick Leave emails in inbox that require quick follow-throughfollow-through File appropriately once responded toFile appropriately once responded to
The Cardinal Rule of Filing/NamingThe Cardinal Rule of Filing/Naming
Be Consistent!!!!Be Consistent!!!!
RRDAs to the Rescue!RRDAs to the Rescue!
Records Retention and Disposition Records Retention and Disposition Authority (RRDA)Authority (RRDA) Retention period (minimum)Retention period (minimum) Final DispositionFinal Disposition Record Series descriptionRecord Series description
When followed, RRDAs, or Records When followed, RRDAs, or Records Schedules, simplify decision-making Schedules, simplify decision-making process on keeping/destroying recordsprocess on keeping/destroying records
Required by state law!Required by state law!
What if an RRDA doesn’t exist?What if an RRDA doesn’t exist?
Non-recordNon-record files and emails (drafts, notes, files and emails (drafts, notes, etc.) may be deleted immediatelyetc.) may be deleted immediately
Official Records Official Records may not be destroyed may not be destroyed without a schedulewithout a schedule Many records, such as fiscal recs., scheduled Many records, such as fiscal recs., scheduled
under General Records Schedules (GRSs)under General Records Schedules (GRSs)
Contact Records Officer to arrange for e-Contact Records Officer to arrange for e-records survey and schedulingrecords survey and scheduling
General Disposition TipsGeneral Disposition Tips
Set aside a little time each day/week as Set aside a little time each day/week as ‘purge time’‘purge time’
‘‘Purge day’ at end of FY or in slow times?Purge day’ at end of FY or in slow times? If using Outlook or Thunderbird for email, If using Outlook or Thunderbird for email,
set up date search for archivingset up date search for archiving If records are unscheduled, organize them If records are unscheduled, organize them
in preparationin preparation for scheduling for scheduling Function, Date, Creator?Function, Date, Creator?
When in doubt, hold on to it!When in doubt, hold on to it!
Exception: Litigation Holds!Exception: Litigation Holds!
Applied by official in advance of lawsuit Applied by official in advance of lawsuit potentialpotential If a litigation hold is placed on a record series or If a litigation hold is placed on a record series or
email group, email group, no records from that series may no records from that series may be destroyedbe destroyed Supersedes all existing records schedulesSupersedes all existing records schedules Records outside scope of hold follow normal Records outside scope of hold follow normal
dispositiondisposition Also applies to Open Records RequestsAlso applies to Open Records Requests Contact Records Management or Legal Affairs Contact Records Management or Legal Affairs
with questionswith questions
Long-Term e-Recs PreservationLong-Term e-Recs Preservation
UWM Archives does not currently have a UWM Archives does not currently have a dedicated E-Records Repositorydedicated E-Records Repository On short list of projects for 2008On short list of projects for 2008
Preservation problems: MediumPreservation problems: Medium CD-ROMs? Magnetic Disks? Server?CD-ROMs? Magnetic Disks? Server?
Preservation problems: Data FormatPreservation problems: Data Format Obsolescence? Proprietary Formats?Obsolescence? Proprietary Formats?
Current Recommendation: Keep in officeCurrent Recommendation: Keep in office
Preservation Solution #1: Printing Preservation Solution #1: Printing e-Recordse-Records
Avoids problems of obsolescence, Avoids problems of obsolescence, mutabilitymutability
Most office managers better equipped to Most office managers better equipped to deal with paper recordsdeal with paper records
UWM Archives can accession paper UWM Archives can accession paper records more easilyrecords more easily
DisadvantageDisadvantage:: No searchability or No searchability or reusability; onus to print on user; wastefulreusability; onus to print on user; wasteful
Preservation Solution #2: Native Preservation Solution #2: Native Format StorageFormat Storage
Storing documents as created by Storing documents as created by applicationsapplications
Easiest option for most users, particularly Easiest option for most users, particularly if well-organizedif well-organized
DisadvantageDisadvantage:: Requires constant Requires constant migration (every new version); no backup migration (every new version); no backup puts data at risk; media may degradeputs data at risk; media may degrade
UWM Archives is NOT equipped to handle UWM Archives is NOT equipped to handle this method of storagethis method of storage
Preservation Solution #3: Neutral Preservation Solution #3: Neutral Format Storage (Recommended)Format Storage (Recommended)
Files converted to non-proprietary format Files converted to non-proprietary format (TIFF, XML, PDF/A) and stored remotely(TIFF, XML, PDF/A) and stored remotely PantherFile, LOCKSS BoxPantherFile, LOCKSS Box
Reduces/eliminates need for migration or Reduces/eliminates need for migration or emulationemulation
Provides backup and transfer optionsProvides backup and transfer options DisadvantageDisadvantage:: Conversion may be labor- Conversion may be labor-
intensive; onus on user for nowintensive; onus on user for now
A Few Special Notes on EmailA Few Special Notes on Email
Archive your email Archive your email on your computer or on your computer or server spaceserver space, not on the email server, not on the email server Think about it: do you check out books from Think about it: do you check out books from
the Post Office?the Post Office? Convert archived email to neutral formatConvert archived email to neutral format
TXT files are easiest; XML files preserve TXT files are easiest; XML files preserve metadata bettermetadata better
Keep attachments associated with email Keep attachments associated with email filesfiles
Email notes, cont.Email notes, cont.
Include original message Include original message andand reply inline reply inline when possiblewhen possible Allows for complete documentary recordAllows for complete documentary record Only need to save last message in threadOnly need to save last message in thread
Include Include allall relevant information in printout: relevant information in printout: Header informationHeader information Body TextBody Text AttachmentsAttachments Signature blocksSignature blocks
Personal Email?Personal Email?
Two Rules of Thumb:Two Rules of Thumb:
1. Try not to send personal e-mails from 1. Try not to send personal e-mails from your university account; if you do, though, your university account; if you do, though, keep them separate from your work e-keep them separate from your work e-mails.mails.
2. 2. NeverNever send work-related e-mails from send work-related e-mails from personal e-mail accounts!personal e-mail accounts!
PantherLink and E-mail PantherLink and E-mail managementmanagement
Upcoming email client has LOTS of the Upcoming email client has LOTS of the features described here built right infeatures described here built right in Visual tagging, drag-and-drop foldering, auto-Visual tagging, drag-and-drop foldering, auto-
filteringfiltering
NOT a fully automated RM system—users NOT a fully automated RM system—users will still have to be vigilant!will still have to be vigilant!
Training on PantherLink and e-mail Training on PantherLink and e-mail management coming Summer 2008management coming Summer 2008
Above all else…Above all else…
As much as is possible, consider As much as is possible, consider electronic records to be ‘normal’ university electronic records to be ‘normal’ university records, and treat them as such!records, and treat them as such!
Stay on top of managing your e-Records, Stay on top of managing your e-Records, and they won’t spiral out of control!and they won’t spiral out of control!
For More InformationFor More Information
State of Wisconsin E-Mail Policy and State of Wisconsin E-Mail Policy and GuidanceGuidance http://http://enterprise.state.wi.us/home/email/Default.htmenterprise.state.wi.us/home/email/Default.htm
Wisconsin DOA Electronic Records Wisconsin DOA Electronic Records ((See especially the training links)See especially the training links) http://enterprise.state.wi.us/home/erecords/http://enterprise.state.wi.us/home/erecords/
ADM Ch. 12: Electronic RecordsADM Ch. 12: Electronic Records http://www.legis.state.wi.us/rsb/code/adm/adm012.pdfhttp://www.legis.state.wi.us/rsb/code/adm/adm012.pdf
UWM Records ManagementUWM Records Management
New Records Management Home Page!New Records Management Home Page! http://www.uwm.edu/Libraries/arch/recordsmgt/http://www.uwm.edu/Libraries/arch/recordsmgt/
Includes links to UWM and UW-System Includes links to UWM and UW-System General Records Schedules, webcasts, this General Records Schedules, webcasts, this presentationpresentation
Or, Contact Records Management directly:Or, Contact Records Management directly: [email protected]@uwm.edu (Brad Houston) (Brad Houston) 414-229-6979414-229-6979
Questions?Questions?