20110428 arma amarillo inventory your electronic records

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

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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

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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

jwilkins@aiim.org

http://www.twitter.com/jessewilkins

http://www.linkedin.com/in/jessewilkins

http://www.facebook.com/jessewilkins

http://www.slideshare.net/jessewilkins

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