Electronic Records

nullManaging the Retention ofManaging the Retention ofElectronic RecordsAnn Marie Przybyla Electronic Records Symposium Region 9, November 2007GoalGoalDescribe the essentials of managing e-records retention and disposition http://www.aaa-belt.com 同步带 同步轮 进口三角带 http://www.u51688.com http://www.qiwhy.comWhy Not Save Everything Forever?Why Not Save Everything Forever?Discovery, FOIL, audits Access and retrieval Storage costs Migration costs Increasing risksWhy Managing Retention is DifficultWhy Managing Retention is DifficultER not part of RM program Split between RM and IT End-user responsibility Increasing complexity of ER Enterprise-wide ER systems Layers of obsolescence Basic RM principles don’t always apply Options for Managing E-Records RetentionOptions for Managing E-Records RetentionPrint records and manage as paper E-file and manage on individual PCs E-file on LAN and manage centrally Manage via ECMS/EDMS Good E-Records Retention HabitsGood E-Records Retention HabitsManage electronically and centrally Implement schedules and standards at creation Develop classification system Simplify retention as much as possible Preserve and destroy records appropriately Develop policy E-Records Creation E-Records CreationKnow retention schedules Know relation of e-records to records in other formats Work closely with IT Address retention in system design Avoid proprietary formats Classification SystemClassification SystemTakes resources to plan and implement But must have to manage e-records electronically Consists of filing plan, access levels, keywords Links to retention schedule Relies on effective use of metadata MetadataMetadataData describing the content, context, structure of records System generated And manually created Essential for finding, preserving, authenticating, understanding e-records Examples? Simplifying Retention: “Big Buckets”Simplifying Retention: “Big Buckets”At a level higher than records series Groups records by function, document type, or other category Links group of records to a retention period Also a term and concept applied to file plansPros of B-B SchedulingPros of B-B SchedulingEliminates a scheduling backlog Schedule less likely to change Improves consistency Simplifies ER system requirements Simplifies role of end user Mitigates riskConsConsLeads to an increase in retention periods generally storage needs migration costs e-discovery risks A concept that appears to be anti-RM Case Study #1 New World Financial SystemCase Study #1 New World Financial SystemHandles all accounts payable and receivable in a government Budget data entered every fiscal year Each department enters own data Produces annual report Encompasses permanent and 6-year records Management of retention is uncertainCase Study #2 General Accountability OfficeCase Study #2 General Accountability OfficeHummingbird’s EDMS/ERMS (2004) Simplified file plan with 3 buckets Units tend to work in 1 or 2 buckets Buckets subdivided by function (33 total) User asked to choose bucket and function for each document RM functions activated when user titles and saves the document Case Study #3 E-Mail Case Study #3 E-Mail May or may not be records Each record must be retained for appropriate retention period Automating retention involves Analyzing each end user and end user’s e-mail Identifying permanent e-mail Managing non-permanent e-mailCase Study #4 Madison CountyCase Study #4 Madison CountyPiloting project in DSS Imaging project for case files Controlled index terms 19 document types Staff can view discrete case file System will eventually manage retention Some ObservationsSome ObservationsBig bucket scheduling is an absolute necessity for managing ER Rejects managing at the item level Alternative to “all or nothing” Supports use of electronic tools Helps make RM invisible to end users …and Recommendations…and RecommendationsKnow records at the granular level To ensure buckets aren’t too big Schedule records before system design Bring RM to the table at system design Work closely with IT Balance risk with simplicityRetaining ERRetaining ERApply preservation strategies to all ER, not just permanent Anticipate obsolescence and instability Some strategies Reformatting Standard formats Migration Refreshing When to Think about DestructionWhen to Think about DestructionPlanning records system End of retention period Computer reassignment Computer surplusing Staff turnover When not to Destroy E-recordsWhen not to Destroy E-recordsBefore the end of retention period Needed beyond retention period In response to FOIL In response to legal action When audit is pendingExercise ControlExercise ControlOf all computers PCs, laptops, tablets Personal Digital Assistants Digital cameras Of all copies Backups Detachable devices, removable media Printouts, microfilmMethods of DestructionMethods of DestructionDeletion Reformatting Defragmenting Physical destruction Degaussing OverwritingBasic E-Records Retention PolicyBasic E-Records Retention PolicyEstablish government ownership Maintain equipment and system inventory Identify record copy Follow records schedule regularly Define procedure for halting destruction Train all staff Review for compliance ConclusionsConclusionsManaging retention of ER means knowing essential RM principles But rethinking those principles when needed And being flexible ourselves Thank you.