managing paper and electronic records donna read, crm, cdia+ florida gulf coast arma chapter october...
TRANSCRIPT
Managing Paper and Electronic Records
Donna Read, CRM, CDIA+Florida Gulf Coast ARMA Chapter
October 2015
AGENDA
Where we stand now
How did we get here
Is it working for you?
What does it take to fix it
Current Situation Decentralized control of records & information
Records & data kept too long – is this still true?
Unprotected “vital” records
Technological advances not being applied to data management
Information explosion
99.99999% of data born in digital environment – but we still print
Humans still like paper
Minimal knowledge of Records & Information management
More Than Just A Management of
Records Issue
Structured or Unstructured Data Records Documents Assets Information Knowledge - Context Content Big Data and Data Pools
What About Media?? Enough Choices?
WORM DrivesOptical DiskCD-ROMDVDDAT TapesMagnetic StorageRAIDDVD – Blue Ray
Where Does The Electronic stuff Live?
Servers and Networks Disk Drives Laptops/Desktops The Cloud in Iceland? Jump/Thumb/Flash Drives Smart phones/Tablets Cameras On a contractor’s (or your company’s)
server in India
What Does The Paper World Look Like?
• 19 copies of documents printed for each meeting
No one is making sure the copy says “COPY”
• Humans still want to use yellowhighlighters and pens to reviewdocuments
• Computer screens are hard on the eyesfor lengthy reading so people print
Offices and Paper
• The average office worker uses 10,000 sheets of copy paper each year.
• The United States alone, which has less than 5% of the world's population, consumes 30% of the world's paper.
• Over 40% of wood pulp goes toward the production of paper.
• Printing and writing paper equals about one-half of U.S. paper production.
• The costs of using paper in the office can run 13 to 31 times the cost of purchasing the paper in the first place!
Reduce.org
Where Does the Paper Live?
Filing cabinets Tops of desks Inside of credenzas Under the desk In the file room On top of the filing cabinet In your briefcase In boxes stacked in the corner In boxes at the local records
center
Are There Too Many Choices?
Information was easier to control
Gatekeepers (secretaries) knewabout file plans and how tocreate and use them
Only “special” people could create business information/records
Volume was limited and controlled
The Way It Used To Be
• If no one took responsibility, records got misfiled, neglected, or worse.
Not Always Perfect Though
Then The 80’s Came Along
Pandora introduced an powerful box to everyone’s office
Management thought secretaries were no longer needed (the staff who understood file management)???
Information has distributed ownership
Gatekeepers are a thing of the past
Everyone with access to a computer or mobile device can create business information and records
Volume is out of control, unlimited, and growing exponentially
The Old Way was Replaced With Electronic Chaos
World’s information doubling every 2 years
Over the next 10 years the number of servers in the world will increase 10-fold
Amount of data managed by data centers will increase by 50-fold
7.9 zettabytes (ZB) will be created in 2015(in decimals = seventh power of 1000 – 1 ZB = 1 billion terabytes)Library of Congress estimated to equal 10 terebytes
Statistics
Where Did We Go Wrong?
Not exactly a good filing system…
This
With This
We Forgot To Equate
So What Do We Do Now?
• Get Management On Board!!!• Gather Data – Data Call & Data Maps• Analyze the Data – build business case to take
action• Research Solutions that fit your organization• Present to Management all solutions with your
recommendations and cost estimates• Depending on funding move forward
What Will Real Solution Look Like?
• A mixed bag of nuts• Never unlimited funds• Have to prioritize what gets digitized• Business units with the most clout will get the
most help• Seldom an enterprise level solution is put in place• You will most likely remain a hybrid organization
with some functions moving to digital only and others remaining a mix
• May depend on individual managers
Elephant in the Room• You need tools in your tool box to get the job done• Tools cost money• Tools require maintenance & training• Tools take resources to implement• Tools take up space – on the server - in people’s
lives• Tools must be used properly in order to work
correctly• Tools used incorrectly could kill you or at least do a
lot of damage
What Type Of Tools Do You Need?
• Depends on your business requirements…..• Deduplication software• Electronic Document Management System• Records Management • Workflow• Email management• Baiting numbering feature• Business Analytics• Auto classification• Case File Management System
Questions To Ask Stakeholders – IT big time – users
How is the enterprise going to implement and control the data/information/records/content
Are they going to move to a digital world only?
Are they going to continue to manage a hybrid animal?
Are they going to ignore the problem and accept the associated risks?
Are they going to ignore the past and leave the legacy data behind?
Questions cont. How is the migration of data going to be carried out
and by whom?
Who is responsible for security of the data and how is it carried out?
If a system is purchased what are the characteristics of the system – RM/email/workflow…?
How are people going to be trained and who pays for it?
Backup and archiving – define and outline
Next Step Stakeholders -Senior Mgt – IT – employees –
customers – public – investors
Organizational Charts – who is generating the information/data/records/content
Business analysis – workflow to determine how the information/data/records/content etc. moves within the office/division/organization
Data Maps – maps of where the information /data/records/content lives, owners, formats…
Data Maps
Spreadsheet or a database or a chartType of data – records, documents, raw
data, non-records, etc.Who is the owner of the dataWhat is it used for Is it used for program or administrative
needsWhat format is it in – include information
about proprietary software and versionsWhat media does it reside in – paper,
electronic, microform
Data Maps cont. Where is it located – servers, hard drives, file cabinets, in
the basement, under the desk…
If it is electronic what is the name of the system where it lives
What is the volume – linear feet or terabytes
Is it a record, if yes then it is a vital record, does it have a disposition assigned to it
What is the date range of the data – record or non-record
Which version is the official record
Prioritize Stakeholders – who needs to be involved – IT is
always at the table, include Legal, Finance, anyone who has a record or system.
Use workflow and data maps to perform risk analysis and prioritize the data
** Where is the most valuable information** What form is it in** Are there any burning buildings that
need immediate attention
Analysis Use data maps & file plans to
determine what is the “official” record – duplicates abound – usually 40% of holdings
How much protection for litigation does the organization need?
What business processes can be automated – which ones cannot?
Decisions
Is the organization going to digitize legacy data – draw a line in the sand?
How is the data going to be migrated in the future?
What are we doing with the paper after we scan it?
Do we have legal requirements to hang onto the native format?
Are we going to outsource some of the work?
Finance & Budget
Stakeholders – Senior mgt. – employees – investors – IT – customers…..
Use ROI to determine best use of your funds
Scanning – will it save you $$$ or cost you $$$
Real Estate – using office space tostore records is more costly than offsite storage
Finance & Budget cont.
Staffing – do I need to increase staff if I purchase more software
Hardware/software cost – 17% of initial cost every year thereafter
Keeping data culled on servers saves $ and time
Has the cost of migration of the data been taken into account
Logistics – Efficient Flow of
Goods, Information & Other
Resources
Records retention schedules & file plans Metadata captured – classification schemes Metrics determined Naming conventions Specifications for scanning, importing, and other
technological processes - RFID, etc. Reporting requirements
Manual Way to Manage Electronic
Records• You can manually manage your records in all formats
– but………
• Time intensive• Subject to human error• Becomes increasingly more difficult over time• Very few have resources to get a handle on the
legacy data• Requires a lot of training • Must be monitored constantly• If only key staff can do RM duties then they become
the points of failure in the system
NARA-Basic Records Operations 6
Sample of Uncontrolled Shared Drive
**Note folder names with no meaning to anyone but the creator, loose documents not even placed in a folder
Electronic files can be structured like record filing cabinets...
29
Information ServicesFinance
Facilities
Emergency MgmtCommunicat
ionsBudget
Asset Mgmt./Property
Administrative
30
• Your File Plan is your decoder ring
• A File Plan….what’s that?
A subset of your retention schedule that covers only your area of responsibility.
So where do you get the file folder structure from?
Partial GRS 14 File Structure
• Use your organizational chart to determine functional areas of responsibility.
• If the records/documents are managed by the calendar year then you can set up high level files by the year.
• If the records/documents are managed by the FY, then set up by the FY.
How You Do Business Determines How You Set Up
Your Files
• How you do business should determine the level of granularity that is required
• If your office gets 7000 public records requests in a year you need the granularity of individual folders (down to the folder level being an individual case name or number)
• If your office gets 8 public records requests in 3 years then you need less granularity of the folder structure
Let Your Business Be The Driver
• No software is plug and play
• You still have to have a file structure determined first
• The software needs a map of where to place the data
What If You Have Software Tools In Place Already?
So You Use SharePoint – You Really Need Governance
SummaryThe current environment is usually the wild
west
Rectifying the situation requires specific skill sets, tools, lots of planning, tenacity, patience, creativity, and resources
Hard choices have to be made and these are sometimes driven solely by funding
It will take time to win this battle and the troops may threaten to mutiny on occasion
Your plan will change – it is inevitable