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: houstobn@uwm.eduhoustobn@uwm.edu (Brad Houston) (Brad Houston) 414-229-6979414-229-6979

Questions?Questions?