Inventorying Your Electronic Records Webinar

Inventorying Your Electronic Records Webinar


Well, good morning everyone, my name is Rich Sloma. Welcome to today’s New York State Archives presentation of Inventorying Your Electronic Records. This is our second webinar of five and this year’s winter webinar series Today’s presenter is Maria McCashion. Maria is the New York State Archives Regional Advisory Officer for our Capital District-North Country region. We want to let folks know this session is being recorded as we do with all of our webinars and will be available for future viewing. If you have any questions during the presentation please type them in the chat box to the right side of your screen and we will answer them at the end of the presentation. At this point I will turn it over to Maria. Hi everyone, welcome to inventory your electronic records. Rich sent you a copy of today’s slides as well as a separate handout of electronic systems and records inventory instructions which lists fields for data that we recommend you collect when inventorying your electronic records and the systems that contain them, These instructions go with an Access database that the State Archives created for inventory electronic systems and their records and you can request the database from rich or Your regional advisory officer or state agency services and we can send it to you on a CD The data could also be collected on paper or set up in a spreadsheet or another database. Ideally your inventory results should be managed online Which will help make it easier to use and maintain the information Electronic has become the preferred format for record-keeping and the same as records in paper format records managers need to know their electronic records and Develop plans to manage them and also the same as paper records The first step towards managing them is to conduct an inventory, which we’ll talk about today This is our agenda we’ll provide you with an overview of the purpose and importance of an electronic records inventory and Give you some selling points to share with others in your organization Who you’ll need to participate in the process? I’ll discuss the two levels of the inventory Collecting data on your electronic systems and data on the records contained in those systems And I’ll cover what’s what to consider when planning your project and talk more about the inventory instructions handout and the Access database these are the tools you can use to collect the inventory data and Finally, I’ll discuss using the results to identify needs and develop a plan to manage your electronic records So why inventory your electronic records? Here are 14 reasons to inventory and points to use to get cooperation during the process. Particularly from management who’s backing and support is essential. We’re getting cooperation from other staff and conducting a successful inventory The number one best practice for managing records in any format is to inventory them it’s the recommended first step in establishing a records management program an Inventory will provide you with information About your records necessary to manage them number two: an electronic records inventory will help you identify and describe key electronic systems that your government uses to manage records as well as the records they’re managing and where those systems and records are located the data fields that we’ve provided will allow you to collect baseline data about your electronic records in addition to what and where they are the data will provide information that’s important for ongoing access and preservation of records and for Including data that can let you know the strengths and weaknesses of the systems that are managing your records number five it will help set priorities based on the findings and Manage your help you manage your electronic records Proactively that’s consistently and according to a plan instead of reactively as in response to a crisis or an immediate need an inventory will help you formulate a plan of action for Ongoing management of electronic records. So the purpose of the inventory is not just to collect data The data should be used as the basis of a strategic plan to address electronic records issues in The plan you identify priorities and allocate resources Including staffing and funding to address those priorities. And there are legal reasons. You should inventory your records number seven You should conduct an electronic records inventory To ensure compliance with the laws that pertain to how governments should manage their electronic records Number eight state agencies and local governments must ensure that their records comply with the arts and cultural affairs law Which defines records as existing in any media and this includes electronic? So your electronic records are subject to the same retention and disposition requirements as paper records Also the regulations of the Commissioner of Education provide details on electronic records requirements and they require that governments include records retention and disposition and system design they must also ensure that records are usable for the full retention period They must create and maintain documentation on systems and the records they contain distribute backup copies appropriately and ensure media integrity the freedom of eight the Freedom of Information Law Which governments must also follow? require that when designing new systems for records electronic records can’t be created in a way that impairs both public inspection and copying and They should be designed to allow the segregation and retrieval of information to provide maximum public access and Additional programming necessary to retrieve electronic records should not be deemed the preparation or creation of new records Which would be an exemption under the Freedom of Information Law Also, though Inventory your records will help prepare your organization in the event of litigation the Federal Rules of Civil Procedure includes some significant rules that apply to electronic records Relevant to federal cases but state courts are increasing Increasingly modeling their courts after these rules which determine the time period and format to turn over records requested for legal discovery These rules also put a time a limit on the extent of effort that must be made to locate or produce records Provided it can be demonstrated but the records are inaccessible in spite of all best efforts and those best efforts emphasize having an inventory procedures for managing your electronic records and staff training all things that will prepare you in the event of litigation, so you know what you have you can provide records requested and Defend that your organization manages its electronic records appropriately Some additional reasons include number 10 an inventory will identify permanent records so you can take steps to ensure the current system will enable them to be read and accessed or not and Ensure that you can include these records in a migration plan when formats media software or hardware change Number 11 an inventory will identify obsolete records for destruction this can reduce the number that you have to store manage and maintain as Well as the amount to migrate to new systems when technology changes Number 12 Helpful for information and knowledge sharing after the inventory. You’ll know more about the applications records and information That’s being used in your organization. And which ones may benefit others an Inventory of a record system can help determine its ability to maintain records for their full retention period in electronic format This may eliminate the need to print records to paper and that’s a change many governments are moving towards Can also help with storage planning an inventory can identify annual growth of electronic records to plan for storage it can enable you to identify and it’s destroy obsolete records to free up space an Inventory may also identify non records works in progress and other reference material Determine their amount and whether a plan is needed to manage these separately or remove them from a system all together Which could free up even more space and during the inventory? You may hear about plans for new department projects that may require more storage An inventory can help you with project planning sowhat’s discovered during an inventory Can initiate projects such as one to implement an electronic content management system? It can modify ones that are already planned for example, allow you to make plans to designate the electronic record the official record and eliminate the paper record when a system and its backup is determined to be able to support this change and It may even eliminate the need to purchase more storage If enough storage can be created by disposing of obsolete electronic records So what records will you inventory Your inventory will involve structured electronic records and it may involve unstructured Electronic records and both types need to be managed for retention and each has its own issues to consider Structured records are records contained in systems Their databases which have defined fields rules for data entry Character limits that sometimes they have defined contents for fields some examples on the slide includes finance systems permit issuance student information payroll real property systems in your handout an Information system is defined as any computer-based system that supports the acquisition creation storage processing management of and/or access to information a System may consist of a single record series a set of closely related records series or a set of varied records record series an information system May be a database software application a document management system or even a file directory on a local area network a Structured records are managed by a software application Unless you print the record out to paper or you save it as a PDF and stored in another application There’s often a limited knowledge about how a system manages its records for example How it stores data and whether it’s designed for records disposable Some databases may store data forever and others may compress data after a period of time to improve the applications performance During your inventory You must find the real retention capabilities of each database application or system to determine how to manage its records retention. So you should also consider inventory unstructured records These are the individual files that you typically create using Microsoft Word Excel or other desktop applications and these files are often managed by whoever created them using the creator’s own file naming conventions or inventions These files often are known to the Creator But not easily understood by others and they may exist in shared networks on individual pcs or in personal folders Unstructured records are difficult to inventory and Difficult to control because they’re not systematically controlled as they would be in a database and they’re easily copied and shared Stored on removable media and they may exist in multiple versions That said you do need to gain control of unstructured records for retention purposes But the recommendation is to make a plan to tackle these after inventory your structured records So begin your inventory by focusing on the structured electronic records of your organization And these will encompass the majority key record systems that are in use an exception to focusing on structured systems is whether you’re storing important permanent or long-term unstructured electronic records on a network as With these examples Board minutes annual reports audits budgets These types of records should be included in your initial inventory because of their permanent retention You should also take into consideration whether all of your organization’s electronic records are stored on your network Some may be stored in vendor managed applications where the vendor controls the software in the storage They may be in hosted services they may be controlled by state agency applications used by local governments such as real property data and Systems held by the office of real property services or data in the New York State Retirement System They may be in federal agency applications used by state and local governments Such as the star program or a financial aid application They may even be local government applications used by other local governments as with county tax filling So for your inventory you want to find out who controls the application and its data Where the records are being stored? Where the data is physically being stored and how long it’s retained by the host Depending on the records retention period you have a solid contract with a vendor and you’re confident that your records will be managed properly by the host you may be able to store your records the Post or the vendor may be able to store your records for their full retention period so you don’t have to print them and store Them as paper or on a separate PDF the State Archives has guidelines on using a data storage vendor that provides information to local governments and state agencies about issues Involved in handing over custody and control of data to a vendor or another government or agency it also includes elements to include in a contract to ensure that your records are protected and managed properly and That those guidelines are on the State Archives website. An electronic records inventory is conducted at two levels First level is the records system level With a system encompassing one or more records series rather than individual files So some examples again of these systems are on the slide electronic payroll systems general Ledger’s and periodic records in a financial system Student Information Systems minutes and agendas scanned into an electronic content management system Some other examples are databases of information about current and former employees municipal software with licensing programs digital repositories of county proceedings real property records or pistol permits time and attendance software programs like Kronos or PeopleSoft The second level of the inventory is done at the record Series level in An electronic records inventory just like a paper records inventory when you’re describing the records The focus is on the record series or a collection of records rather than on individual records So you’ll need to identify the record series encompass in each records creating system. And here are some more examples of systems with multiple records series County Clerk’s student information or payroll systems and the type of Individual record series that you may find in these systems a system can also consist of varied record series Not related to the same function for example an Organization-wide use of an electronic content management system for records from all departments or a municipal system that houses multiple records series stored in separate functional modules or applications like an application for code enforcement With building permits inspection records and other building regulation records in the same system housing a module for public comment or reporting to report public concerns like potholes and Also the same system having an app for pet licensing and maybe even one for foil requests So at this point we’ve discussed why an inventory is important explained that management support is a necessary part of the process and Determined what to inventory now. I’m going to cover some things that you should consider before beginning the inventory You want to determine the scope of the project? Will it be organization wide or focus on a specific? department or unit Who will be involved You want to familiarize yourself with your work environment? If you’re not already familiar with it and get a bigger picture of your organization Department for a unit that you plan to inventory to discover any system relationships between units And/or who to contact for questions or information gathering. You also may want to use You also may want to identify workflow For example how records in a system flow through one or more departments You want to familiarize yourself with your technology environment meet with the person in charge of maintaining systems to learn about their practices and Develop a strategy for all necessary inventory activities. We’ll talk about each of these in a little more detail So first decide whether the inventory will be comprehensive or focused we inventory electronic records in all or just a select number of departments an Alternative is to inventory electronic records associated with the single function or functions that cross departmental lines Like a finance or a Human Resources system You can adopt a combination of these approaches focusing first on records of Organization-wide functions and then turning to systems in specific departments You should identify a distinct purpose for the inventory and This might determine the scope for example is the inventory intended to implement a general electronic records management program already have a specific need that you want to address such as disposing of non records to free up storage space or The design of a new record system that will replace a cluster of existing systems The inventory is intended to be if the inventory is intended to be Organization-wide you might form a team first and then have the team prioritize the systems to be inventoried If there are critical needs you want to focus on those first one suggestion is to plan an inventory that focuses on critical needs and Is doable over one year so so that you and others don’t burn out and have an incomplete project If it’s the critical need is one part of a larger inventory, you can plan the subsequent inventories in phases it also may be helpful to practice the inventory on a system that you use first to help gauge the time involved for other systems and give you a sense of Questions and data that may need to be collected You want to determine who will be involved And the staff who use the systems and work with the records? they create will be the best source of information about the records in the system and Probably some of the system information as well There’ll be a valuable resource for the inventory And for that reason you should let them know why the inventory is necessary and how it will benefit them you should keep in mind that they like you will have to make time to participate and for that reason you should be conscience conscious of their time and Plan well to avoid wasting it Depending on the size of your organization you may need to enlist the help of department or unit records coordinators Who will either assist you with the inventory Or identify individuals that can help you set Or identify the key individuals and help set the time schedule for the inventory of each departments records Information technology Either in-house or a vendor will be essential for system details and they may already have a basic Inventory of all major systems in your government, which would be a great starting point The records management officer of course needs to be an active participant because the r-mo understands records retention and disposition and other records management issues your project staff should include a project director to coordinate and oversee all inventory activities an Inventory clerk may be necessary to assist with data collection or you might work in teams of two or more To collect information about the electronic records one person can interview and observe while the other takes notes Depending on the size of the project and staff expertise a consultant might be hired as a project manager to coordinate all the inventory activities with support from someone in your organization someone or someone’s Or to analyze the inventory data and prepare the electronic records management program plan They may even have more specialized software for inventory and for data analysis Management support is essential Probably should have put them at the top of this list Management should be supporting the inventory Ideally as a directive to allow and ensure that any staff that you need to assist Can and do make time for it? Management should support and provide an organization-wide understanding of the need for the inventory its goals and benefits for the organization as a whole and This is essential to get staff to commit time and be thoughtful about the information that they provide provide to support the efforts So when planning it’s important important to know your organization That means getting an understanding of your government and its IT environments and The context in which your electronic records are created including the function of the records Who’s involved in their creation and how the records are maintained? An organizational chart Or a department listing can help you understand your government and its departments and any functional units within each department What each area does the number of staff in each area? learning the relationship between different units Including sub departments and functional groups can help You know how units work together and what records systems across departments Might be as might be the case with an HR or financial system This will also help you identify Department heads and key staff members to interview or to direct you to the appropriate people to interview regarding systems and related records Before starting your inventory, you should also meet with the person in charge of maintaining your electronic record systems and in order to get an overview of IT practices And some questions you may ask IT include is there already a basic high level application and system inventory and can I use that and Is there any documentation on the major computing applications being used? Can I use that? And if there is a formal IT unit, does it have a strategic plan or an annual work plan? IT can also help identify the storage devices and locations and where the data is actually being stored whether it’s centralized or decentralized in your organization and They may also be able to help you determine what applications they should be able to help you determine what applications are housed internally But also which are hosted by a third party And you may not get all the answers before you begin But once asked IT may be able to help you find answers as you proceed with the project The inventory strategy will involve coordinating certain activities including interviews with people who know the records and also examination of the records that will be involved and This will require careful planning before you can begin to collect the data you should identify the key record systems as we’ve mentioned in a number of ways or combination of reviewing the systems by visiting each government department For working with your ID IT departments and/or conducting a brief survey of each department to compile a preliminary list of systems You’ll associate those systems with key individuals these are people that you must interview to understand the electronic records and these may include the Records owner which is the person who uses the system And/or the records analyst that’s the person who provides technical support for the system could be one in the same and It will be helpful to develop an inventory schedule This will help you plot the sequence of your inventory efforts by Department systems and the availability of system records owners and analysts Scheduling time with relevant staff may be the most difficult part of the inventory But you should try to collect data according to your schedule and some data Collected may require additional clarification by vendors or other IT support personnel try not to get hung up in one area and note what you need to follow up on and Circle back later to keep the project moving forward And use your records retention schedule This can help staff determine what records may exist It can remind staff of certain records that they may only use once or twice a year It can help determine retention periods State agencies and local governments should also keep in mind that they should contact State agency services or your regional advisory officer for clarification on any records that you find that are not? found in your schedule You may find obsolete records during the inventory Don’t include these in the inventory But do note them and work with IT and individual Department heads to make a plan to document these records for destruction and then destroy them completely Work on setting up a process for this and this may be an issue to be added to your needs assessment and be prioritized and addressed as part of a records management plan a Goal of the inventory should be to ensure that electronic records disposition can be carried out regularly After the inventory is complete just like with your paper records so that electronic records don’t pile up So at this point we know and We know why in inventories and important management supports necessary We know what to inventory and what to consider when planning an inventory and I will talk about conducting the inventory including the inventory tools Used as paper forms or in a database for collecting separate information on systems and electronic records series Interviewing IT departments and system users Speak with IT first That’s a good thing to do find out what preliminary data they can provide you with because this could be a lot Then gather the inventory data and follow-up and refine the data collected. We’ll talk a little bit more about each of these. So as discussed you’ll be disc a Turing the system information and records series information and Different information is collected about each. So it’s good to use different forms for each The electronic systems and records inventory instructions handout lists as I mentioned fields of data that we recommend you collect when inventory in your electronic records and As I mentioned these instructions go with the State Archives access database And you know if you didn’t want to use the database the same fields could be used on paper forms or in a spreadsheet But maintain them in some type of a database Paper forms may work well for the initial gathering and refining of data and they can be entered into a database but ideally as I mentioned your inventory should be in some type of a database so that it’s easy to use and update and it can be also be helpful to have a notepad to collect comments and any potential concerns or discoveries that are mentioned or observed during the interviews This is a screenshot of the State Archives Access database Showing the form used to inventory your electronic records systems It comes with instruction for the type of information needed in each field as well as some sample descriptions Keep in mind the sample descriptions are just that their samples They’re gleaned from real life, and they may not necessarily be examples of best practices But they are good examples of the type of information to include in fields Complete one form for each system and You can use that form as the focus of your interviews with IT and key systems users So as I mentioned completing one System may be helpful for determining the need for additional interview questions or additional time needed for each system inventory and interview The database also has a form for the electronic records contained in each system. And this is a view of the databases electronic records form and we also Including your handout instructions for completing these fields Note on the left hand menu there is a Forms are identified this is one database that contains two forms a Form for the systems and a form for the electronic records The system information should be entered first And when this is complete each system is automatically added to a drop down menu on the records form Allowing you to associate each record that you enter with a specific system As you complete the forms, keep in mind that Someone other than you might need to use those forms or this database in the future So avoid using jargon in formal titles Abbreviations or personal names to describe your records if a field on the form limits the amount of detail that you can provide concerning the records you can give clarification or more information by using the record series description field. Including IT during interviews may be helpful for providing everyone with a bigger picture of systems capabilities But their participation will depend on your needs and circumstances As I mentioned it’s important to be considerate and communicate with those you plan on meeting with Explain to them why you’re doing the inventory and what the goal and the benefits are What they should expect during the interview or if they need to prepare any anything in advance one way to prepare and it might be easiest is to have staff involved complete the inventory forms first and Then conduct the interview by going over the forms that you’ve provided Let them know how much time is needed and determine any time constraints and let them know if you think that follow-up is likely Meeting in Person in their work environment is a good way to learn about what they do and also help them not overlook any key records. So as you gather inventory data You want to try to find out what work is performed within each department? Or at least state what you think, you know and then ask the interviewee to add or clarify as needed Break down the work perform into smaller functional roles or groups if needed So for example if with the finance department You may have separate units for accounts payable accounts receivable or payroll List the record series within each Functional group so find out what records each area uses and this will help determine when and how copies of records are made and shared and this can be useful if a goal is to establish a workflow and determine which are the official records and make a plan to file one official record copy for staff to refer to and eliminate duplication Focus only on the records not on works in process or reference material and Have IT and staff complete or respond to the inventory fields and ask them how they use the records. So as you refine the data it’s important to be flexible Because you may not get all the information that you need during the first interview Or you may not realize it until after you’re done and you review your notes Some people also may not be available during the initial interview process Information may also need be needed from outside the targeted areas so for example, it may require you to contact a third party a vendor a state agency or IT support Let the interview the interview we know that you may have some follow-up questions at after you review the data they provide and It’s important to verify the information gathered Sometimes the information may have been presented unclearly or the person’s thought that the information was accurate you may have to send the information back to the interviewee and To review it and correct it Sometimes when they see the answers in writing and in context with other information may give them more time to reflect and clarify answers So after the data collection you’ll analyze the results in order to identify needs and develop a management plan and a program and you Should commit to maintaining the inventory data So that you don’t have to go through this lengthy process again, and We’ll talk about each of these in more detail So after the interviews you may discover issues relating to systems needing replacements or needing upgrades or lack of backups for lack of appropriate backups or no migration plans Or issues with proprietary or legacy systems among other things issues like these may require you to revisit certain departments to gather additional information and There may be planned system changes Which address some of the current concerns you have or they may actually create new concerns? And there may be other issues discovered relating to frequency of backups lack of storage space the need for hardware or software upgrades file formats needing to be migrated a lack of a file plan for departments unstructured records or On a positive note You might discover a department with a good file plan for unstructured records that other departments could use You want to determine What can be addressed now if there are any easy fixes? addressing these first can show progress and the seriousness of the effort and It can give management results. We know management loves results Other issues may require prioritizing due to their need for planning additional staff investment in new systems or training and If there are serious issues Such as potential loss of records particularly permanent records. These should move to the top of the list for immediate attention. You want to use what you learned to plan And ideally there should be a team in place for the inventory and a team in place Maybe the same to review the inventory data and any issues identified and to plan and prioritize the next steps It’s important to be realistic about what can be accomplished and set goals for what can be done now Or next year or sometime down the road It’s important to build consensus When you do make a plan put it in writing make it flexible and review it periodically Highlight any departments that are at least fairly well organized or have information systems that are well designed or record series with file plans and Recognize some further work and use them as an example or a model for others as you continue. You continue your efforts Important to start small and don’t try to take on too much And local governments should keep in mind the local government records management Improvement Fund program Which may be a resource to tackle certain issues or to have to hire a consultant for the inventory? As you uncover potential issues they may need to be addressed through policies and procedures Existing policies and procedures may need updating or new ones may need to be developed Written policies and procedures will help Document that your electronic records are created maintained and destroyed according to a plan and not on an ad-hoc basis just like with your paper records and this is essential if you want to start using your electronic records as evidence of your program and business processes Policy should focus on priority tasks and procedures should be written in a manner that’s easy to follow so that people do follow them and If you assign roles and responsibilities within your policy which you should Make sure that you train staff about their responsibilities These are some policy topics that you might include electronic records creation for example creation of unstructured records including things like version control and identifying the official copy and also with unstructured records electronic file naming conventions and directory and folder naming and Organization for those unstructured records and step-by-step procedures to maintain consistency Confidentiality of records such as limiting access implementing firewalls and passwords acceptable use Retention and disposition identifying and storing records by retention dates and disaster preparedness including backup plans and migration plans I’ll let you read through these But these are examples of policy components for electronic systems maintenance and migration plans and They reflect criteria for retention and preservation of electronic records under the regulations of the Commissioner of Education State agencies and local governments required to follow these when maintaining government records in electronic format. So filing plan is important for unstructured records You may not be inventory these initially but this may be an eventual goal Filing records electronically doesn’t reduce the need for a file plan if anything it makes a controlled vocabulary even more necessary and Related policies and procedures are important for maintaining consistency A file plan should follow consistent consistent file naming and naming conventions Consistency is going to make it easier for others to understand how things are filed And you can use your retention schedules to set up functional structures to help and help identify meaningful keywords the State Archives also has indexing resources if you’re looking for other controlled vocabularies You should use logical specific names and dates for a file plan if possible The goal is to be able to tell what’s in the file without opening it if your electronics records have replaced your paper records and Your paper filing system was good. You could apply that to your electronic records You should also Anticipate retention of your electronic records and try not to file records with different retention periods together Otherwise just like with paper records. You may someday have to implement a purging project that involves reviewing every file If this is unavoidable you can separate records within the same folder by retention periods Store your electronic records on a local area network By functionally related groups and record series within and use States and retention periods wherever possible to make disposition easier you should also if you’re Relying on paper and electronic records or the same record in two formats You should coordinate paper and electronic records files. So if you destroy paper records for example If you’re maintaining the paper records as the official copy and using the electronic record for access If you destroy the paper after it’s met its minimum retention requirements and you want to be sure to destroy the electronic copy following the same schedule This is just an example of filing by functionally related groups in this case finance and record series within in this case general Ledger’s and payroll registers And also using the dates of the records and retention periods to make disposition easier. Maintaining and updating the inventory as well as related policies and procedures should Become part of your program Your records management program. So one component of your records management program All of these efforts should include one or more staff as well as management Supporting this new component of your records management program You’re going to be spending considerable time collecting the inventory data So you don’t want it to be for one-time use And you don’t want to have to start from scratch again So maintain the information in a database such as the one we’re offering and This will make it easy to use and maintain The inventory will likely need to be updated periodically Annually, or when a system changes You can have a team review the inventory on an annual basis or you might send out segments To individual departments for them to review an update You should use your inventory for future planning As systems technology and budgets allow you can use it to plan for future projects and you can use it to anticipate and address applications to be upgraded or replaced Can use it for criteria for new applications or software that you’re interested in purchasing? records management and Records management must be involved in future system planning. I T’s generally more concerned with how new systems will integrate into their current technology Infrastructure and less on managing the records in the systems. So as our mo You have to be concerned with the records contained in each system. Some last words of advice some key points to take away include communicate Make sure that management department heads and Interviewees all know why an inventory is important and why you’re doing it IT is going to be a key participant they must be involved to clarify the system issues And You should have patience with them and ask them to explain things in common terms if you don’t understand some technical term You should also share your records management Expertise and be patient with any IT staff who are new to records management Be sure to integrate records management into IT planning and this will save everyone time in the long run as well as reduce Potential risks to your governments and keep you in compliance with the laws the Arts and Cultural Affairs law and the Freedom of Information Law That require integrating records management into IT planning Be realistic Inventory one functional area at a time plan accordingly go for low-hanging fruit if appropriate to show progress and use the State Archives inventory tools to get started so you don’t have to create new ones and contact us if you have questions or need assistance So, thanks everyone for coming and do you have any questions at this point Hombre we do have a few questions and I figured we’ll give folks an opportunity to type up Their questions in the chat box is a we answer these first few here We have a from Tara If your organization does not have a general record retention schedule yet I do you recommend cheating or I’m sorry? Yeah Do you recommend creating that before tackling the electronic records inventory Oh That’s a good question and and I’m guessing Well, actually I’m kind of wondering if You are a state agency or a local government you have not have records disposition authorizations for your records, or have you not adopted the local government retention schedule Or have you not just not applied it to your records. I wonder if you could answer that question first Yeah, we’ll see if what we’ll do is we’ll give ter a chance to chime back in and go to the next question Let’s see This from Griselda is the access template available for download so we can use it or do we need to build that from scratch? Oh, no, it’s all set up The only thing we can’t do is email it to you. I think that’s still the case it was before I was going to yeah just got chimed in quick here at Marea we can email it as a zip file Okay, and so what happens in embedded in the zip file? I always send people to email so I’m going to say if you want to Anybody who wants that just email it email send us an email at arc trained at nice egg of and I will respond and then I’ll send a follow-up email with the attachment included So if you get my response, but you didn’t get the other one, you know, we can then Burn it onto a CD and then mail it For for anybody in New York State or even actually nationally just we can’t Email or mail at night internationally. We have had some requests for that So that just to help answer that question for you. Thank you. That’s that’s it. I wasn’t sure about the zip drive That’s good. So you have to ask for it. It’s not on the website Yes So we got a question here from Tracy where can we find Same question about the the inventory database so it’s similar question Greg here asks, do you have a sample policy of procedures to share? Well, you would need to be specific about that We have an outline, which I showed you on one side For components for system maintenance and migration plans, but really you have to flesh them out based on your own Based on your own Circumstances, we may have some that have resulted from local government records management improvement fund projects So you could ask your regional advisory officer If I’m that person I think there are a couple that have been done by local governments at the town level and possibly the county So I could send you some examples of those the system maintenance and migration plans outlines came from a sample policies and procedure records management program plan with components for all parts of your records management program So there one component and those sort of outlined what you would include for your electronic records Systems maintenance and migration plan we have that but if you want to Email your REO specifically we may also have some that are created from LG LG rmaf projects. I Guess it is it is helpful to see policies and procedures that have been completed to know what type of information to include But you really want to be sure you’re developing them based on your own circumstances Okay, see The next question is from Tracy. Oh No the question about the Access database and just to let folks know I just did paste in our email address here Into the chat box. So if you’re looking for that, that’s how to get ahold of us an aspir copy the database Oh David asks, what is the Arts and Cultural Affairs law that you have referenced. Is there any citation for that? Yeah, that’s under on the State Archives website under managing records laws and legislation if the Arts and Cultural Affairs well also known as the local government records law and this is the law that requires that local governments and state agencies have records management officers and work with the State Archives to develop retention schedules for their records and it also has requirements for creation of electronic records and maintenance of electronic records So that the full text of the law is available on our websites as well as the regulations of the Commissioner of Education Which are the details or the regulations that support the Arts and Cultural Affairs law Maybe you heard of it as the local government records law Okay So we have a Janet She just said that was a very comprehensive presentation. She’s she thanks us Her question is is a formal electronic records inventory inventory a prerequisite to applying for a grant for an electronic records management system No, but you can apply for a grant to have a formal electronic records inventory conducted But it’s not required for Requesting funds for example to purchase and implement an electronic content management system. It’s a good great starting point It would be recommended that you do an inventory first so you can help Determine what departments could use an electronic content management system But it’s not required. No It would look great on an application if you had one done I’ll say that oh And just here’s a follow-up from Greg on his question about having a sample policy and procedures He has to any related to data classification I’d have to look I I’m not sure We can certainly just add to that if you email us we can certainly You know look at that request and pass it around to folks here and give it some thought Okay, so if there’s any other questions here Now I don’t see any other questions, I did want to let folks know I’d also did put the link to our four local governments to our New York State Archives regional Advisory Officer page if you go to that page on our website You basically just find your county and you find the regional advisory officer or our AO for your region And we typically get the emails to arc train. I always from folks out local governments I I’m usually the one that responds and I I also always include the regional advisory officer in there to kind of get dialogue going if folks haven’t already talked to their REO or Maybe just to bring the REO into the discussion and let them handle it with the respective Constituents in the region and I’m also going to be sure to put paste in for state agencies if folks are looking for assistance we have Contact information For state agencies as well That I just pasted it in that would be to our scheduling and state agency services staff We have an email there and the telephone number too, so I’m wondering if some beggary still out there If you’d be willing to either send me an email or give me a call just to get a little more clarification on What he means by data? classification and So that maybe we can find something. That would be helpful Sure, I’ll do hero as long as we’re on the topic I will I Will paste Maria’s contact information Into the chat box as well. So people can take note of that as a presenter. And of course anybody in the capital district or North Country region And it’s going to find that information here from Maria And again we can certainly At arc train we can get you to the right to Maria or anybody else So I just put that in there thanks, Rich, certainly and And Greg just says yes indeed he will contact you afterwards and Bernardo asks are the slides in this presentation available for printing if you’re interested in the slides we do have the workbook which can be it’s a PDF and that can be Blown up to a larger size so you can you can digitally so you can see it better. But if you want the PowerPoint slides By all means send us an email we can get you a copy of the slides All right We’re about six minutes after the hour. We do, you know still have a little bit of time. So if anybody has any pressing questions certainly Go ahead and ask before our time runs out and we turn into a pumpkin Here in the WebEx system But I don’t see any other questions And of course as we mentioned you can always contact Maria or or me here afterwards and would be happy to field any questions you’ve got So Seeing no other questions I think Maria we can close this session, adjourn for now. Okay. Thanks everyone. We’ll see you in two weeks. Thank you, everyone.

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