20110428 arma amarillo inventory your electronic records
DESCRIPTION
This presentation at the ARMA Amarillo Spring Seminar described approaches for conducting an inventory of electronic records.TRANSCRIPT
Inventorying Your Electronic Records
Jesse Wilkins, CRMApril 28, 2011
Introduction to the Records Inventory Sources of Electronic Records Primary Data Gathering Options The Inventory Process Data to Gather
Agenda
Introduction
Designed to locate, identify, and describe all agency records
Regardless of physical form, media, or location
Conducted at the records series level, not the individual item or folder level
Forms the foundation for the records program
Introduction to the Records Inventory
Identifies the types of records held and any gaps (records that should be held but aren’t)
Identifies the location of records Provides an understanding of records
volume Identifies essential, confidential, duplicative,
and obsolete records Raises staff awareness of the importance of
records management Identifies opportunities to streamline work
processes
Benefits of the Records Inventory
Inventory 101: paper records
Go to peoples’ offices and cubicles◦ Count the piles
Go to the records center◦ Count the cabinets◦ Count the boxes
Go to offsite storage◦ Count the boxes ◦ Or review what you’d previously sent offsite
Easy to tell when you have a “paper problem”
More challenging than for physical records Non-human-readable nature Volume Variety of locations Need for IT assistance
Inventorying electronic records
Sources of Electronic Records
Where electronic records are: applications Centralized locations
◦ Enterprise-wide application servers◦ Departmental application servers◦ Network shares◦ Document/record repositories◦ Email servers◦ Legacy systems
Where electronic records are: applications Decentralized locations
◦ Application directories on PCs and laptops◦ Standalone applications◦ Network shares◦ My Documents folder on PCs
Where electronic records are: media Centralized locations
◦ File servers◦ Libraries◦ Enterprise storage
Decentralized locations◦ PCs ◦ Optical disks
Where electronic records are: media Removable media
◦ Backup media◦ Optical disks◦ Laptops and tablets◦ Smart phones◦ Flash drives◦ External hard disks
Data Gathering Options
1. Survey2. Document Analysis/Walkthrough3. Interviews4. Process Diagramming
Primary Data-Gathering Options
Pros Can be completed very
quickly Lowest cost approach
1. Survey
Cons Questions open to
(mis)interpretation Responses may be
vague Closed- vs. open-
ended questions Without 100%
participation it is easy to miss something
Pros Research is self-guided
and self-paced Exciting finds(!) Looking at documents
and file structures gives unique perspective to understand business processes
More appropriate for physical records
2. Document Analysis
Cons Research is time-
intensive Without feedback,
can lead down the wrong path
Easy to miss important resources
Security an issue Business keeps
generating new content – in other words, it's a snapshot in time
Pros Personal contact /
relationship-building Interviewee
perspective and insights
Interviewees lead discussions in directions you may not have considered
3. Interviews
Cons Scheduling issues Individual perspectives
unique, but limited Interviewee is too low/high
in department to have required information
Manager resistance to employee participation
Time-consuming for interviewees
Depends on interviewer skill
Pros Delivers
comprehensive results quickly
Combines interview experience with group processes
4. Context Diagramming
Cons Not as familiar to
staff Time-consuming for
interviewees Depends on (staff)
interviewer skill
Completed Context Diagram
ManageSupply Chain
Vendor
Operations
Quote Request
Quote
PurchaseOrder
Proof of Delivery /Packing Slip
ApprovedPO
MaterialRequest
This is not hard to do next slides show how!
1. Identify work activities or processes2. Identify the groups that share information3. Capture the types of information created
and received4. Show inputs and outputs
Context Diagramming Steps
Describe Your Business Processes
Identify work activity or process in the circle
ManageSupply Chain
1.
Identify the groups that share information in the squares
ManageSupply Chain
Vendor
Operations
2.
Identify Internal/External Entities
Brainstorm Document Types
Capture types of information created and received
in the white space
ManageSupply Chain
Vendor
Operations
Quote Request
Quote
PurchaseOrder
Proof of Delivery /Packing Slip
ApprovedPO
MaterialRequest
3.
Draw Information Flows
ManageSupply Chain
Vendor
Operations
Quote Request
Quote
PurchaseOrder
Proof of Delivery /Packing Slip
ApprovedPO
MaterialRequest
Show inputs and outputswith arrows
4.
Identify Records
ManageSupply Chain
Vendor
Operations
Quote Request
Quote
PurchaseOrder
Proof of Delivery /Packing Slip
ApprovedPO
MaterialRequest
Inputs and outputs may be records
5.
1. Context diagramming to identify the majority of record types regardless of media
◦ What do you do? ◦ What should you have?
2. High-level document/system analysis◦ What do you have that you didn’t catch in the
context diagramming?
3. Selected interviews as needed to clarify results of the context diagramming
4. Supplemental electronic records management survey
Recommended Approach
The Inventory Process
The inventory process
1. Define the goals of the inventory2. Identify all departments in the organisation3. Scope and prioritize the inventory4. Review departmental work processes5. Review existing document management
policies and procedures
Copyright © AIIM | All rights reserved
The inventory process
6. Identify and review departmental document repositories
7. Interview targeted personnel8. Create a list of documents for the
department9. Review the contents of organizational
repositories
Copyright © AIIM | All rights reserved
The inventory process
10. Create log of all repositories in the organisation
11. Create final organisation-wide inventory12. Create process for updating inventory
Copyright © AIIM | All rights reserved
Data to Gather
The essential information What the record is (format, type) What application creates it What applications are used to access it Whether compression is present and type Whether encryption is present and type Date created
◦ Date last changed if applicable Physical or logical location
◦ Media, server, repository
The essential information Whether there are other renditions,
versions, or copies◦ Word and PDF and HTML and…
Descriptions of indexes, if any Metadata fields* What department owns it What departments/users access it
The essential information Vital records Sensitive records
◦ Personal information◦ Financial information◦ Etc.
Historical value
Other data of value File size Media characteristics and tracking Estimated growth Relationship to physical records, if any Relationship to other electronic records and
systems◦ Example: inputs/outputs, compound records
Specific operating system considerations◦ File format, creating application
Example inventory form - MN
Example inventory form - MN
Example inventory form - MN
Questions?
Jesse Wilkins, CRMDirector, Systems of EngagementAIIM
+1 (303) 574-0749 direct
http://www.twitter.com/jessewilkins
http://www.linkedin.com/in/jessewilkins
http://www.facebook.com/jessewilkins
http://www.slideshare.net/jessewilkins
For more information