1 Managing Email at the Parliamentary Counsel Office (PCO): a case study Graeme Thompson, PCO Records Adviser Archives New Zealand Government Recordkeeping

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Managing Email at the Parliamentary Counsel Office (PCO):

a case study

Graeme Thompson, Graeme Thompson, PCO Records AdviserPCO Records Adviser

Archives New ZealandArchives New ZealandGovernment Recordkeeping ForumGovernment Recordkeeping Forum

7 March 20077 March 2007

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Managing Email at the Parliamentary Counsel Office (PCO)

OVERVIEWOVERVIEW

■ Introduction to the PCO:Introduction to the PCO: PCO recordkeeping systemsPCO recordkeeping systems

Email / ECM interface Email / ECM interface

Interface with recordkeeping systemsInterface with recordkeeping systems

■ Email managementEmail management Current adviceCurrent advice

■ Future solutions? Future solutions?

■ SummarySummary

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INTRODUCTION TO THE PCOINTRODUCTION TO THE PCO

■ Statutory responsibilities: Statutory responsibilities: drafting Bills and regulations that implement Government drafting Bills and regulations that implement Government

policiespolicies

advising drafters of Local and Member’s Billsadvising drafters of Local and Member’s Bills

access by public to legislationaccess by public to legislation

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PCO RECORDKEEPING SYSTEMSPCO RECORDKEEPING SYSTEMS

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PCO RECORDKEEPING SYSTEMSPCO RECORDKEEPING SYSTEMS

■ Documentum v.5.3 - electronic content management system (ECM) Legislative Docbase

Administrative file structure developed 1997 by SWIM

■ Groupwise v.7 - electronic mail application

■ Physical files: Legislative drafting files

Administrative files

■ ‘‘Print and file’ mandatory for all documentsPrint and file’ mandatory for all documents

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PCO Recordkeeping Systems (2)PCO Recordkeeping Systems (2)

■ 1984 1984 – dumb terminal– dumb terminal electronic messaging and electronic messaging and

rudimentary word-processing system based rudimentary word-processing system based

at at Parliament Parliament

■ 1985 - 1985 - computerisation of draftingcomputerisation of drafting

■ 1994 - 1994 - electronic mailelectronic mail

■ 1995 - 1995 - first DMS, Softsolutionsfirst DMS, Softsolutions

■ 1999 1999 – Administrative Business Classification System– Administrative Business Classification System

■ 20022002 – Documentum installed as a DMS – Documentum installed as a DMS

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LEGISLATIVE DRAFTING FILES

■ Electronic records: drafting documents

file notes

email:email: agencies sponsoring legislationagencies sponsoring legislation

other drafters for advice/reviewother drafters for advice/review

Pre-publication unit for draft copies for ParliamentPre-publication unit for draft copies for Parliament

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Legislative Drafting Files (2)

■ Electronic legislative draft filing: Hierarchical based on primacy of document type

■ Will be replaced by Public Access to Legislation (PAL)

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Legislative Drafting Files (3)

■ Drafting docbase in Documentum:Drafting docbase in Documentum: arranged by document type, not by arranged by document type, not by

legislative drafting joblegislative drafting job

multiple-drafter file content multiple-drafter file content

scatteredscattered

does not mirror physical drafting does not mirror physical drafting

file structurefile structure

cannot be duplicated in Groupwise cannot be duplicated in Groupwise

as shared foldersas shared folders

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Managing Email at the Parliamentary Counsel Office

(PCO)

ADMINISTRATIVE FILES

■ Business Classification SchemeBusiness Classification Scheme High-level cabinets mostly High-level cabinets mostly

functional basedfunctional based

uncontrolled growthuncontrolled growth

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Managing Email at the Parliamentary Counsel Office

(PCO)

ADMINISTRATIVE FILES

■ Business Classification Scheme:Business Classification Scheme: Canadian block numericCanadian block numeric

mnemonic prefixesmnemonic prefixes

■ Electronic and paper systems Electronic and paper systems

mirror each othermirror each other

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MANAGING EMAIL IN DOCUMENTUMMANAGING EMAIL IN DOCUMENTUM

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MANAGING EMAIL IN DOCUMENTUMMANAGING EMAIL IN DOCUMENTUM

■ Two stage import process of email into Documentum:Two stage import process of email into Documentum: conversion retains metadata, but alters formatconversion retains metadata, but alters format

now converted into text document to ensure accessibility by now converted into text document to ensure accessibility by

any format.any format.

document-level access restriction to prevent alteration of document-level access restriction to prevent alteration of

email already savedemail already saved

■ Documentum does not have same search functions for Documentum does not have same search functions for

email as Groupwiseemail as Groupwise

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INITIAL ADVICEINITIAL ADVICE

■ July 2004 – June 2005July 2004 – June 2005 ““The Public Records Bill is coming! The Public Records Bill The Public Records Bill is coming! The Public Records Bill

is coming!”is coming!”

Contact with groups, individuals.Contact with groups, individuals.

■ July 2005:July 2005: Public Records Act 2005Public Records Act 2005

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CURRENT EMAIL ADVICECURRENT EMAIL ADVICE

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CURRENT EMAIL ADVICECURRENT EMAIL ADVICE

■ Developed when Records team had fewer resourcesDeveloped when Records team had fewer resources

organisational, not recordkeeping, prioritiesorganisational, not recordkeeping, priorities

partial solutions and quick-fixes handed to end-userpartial solutions and quick-fixes handed to end-user

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Current Email Advice (2)Current Email Advice (2)

■ Do not print, file, and delete significant emailsDo not print, file, and delete significant emails

■ You may delete non-significant records when no longer You may delete non-significant records when no longer

neededneeded

■ Use Groupwise to store email:Use Groupwise to store email: has search functionality that Documentum does nothas search functionality that Documentum does not

joint access folders possible for business unitsjoint access folders possible for business units

email is in place for bulk transfer lateremail is in place for bulk transfer later

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Current Email Advice (3)

■ Use Use In boxIn box and and Sent boxSent box as To-do lists: as To-do lists: add “finished” email to appropriate subfolder add “finished” email to appropriate subfolder

■ Email strings:Email strings: add last email in “string” to appropriate subfolder and delete add last email in “string” to appropriate subfolder and delete

any previous email with duplicate contentany previous email with duplicate content

■ Print and file email into physical filePrint and file email into physical file Delete non-significant email when no longer administratively Delete non-significant email when no longer administratively

requiredrequired

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LEGISLATIVE DRAFTING EMAIL MANAGEMENT

■ Drafters create folders in Groupwise Cabinet, labelled: Current Draft LegislationCurrent Draft Legislation

Completed LegislationCompleted Legislation

■ Subfolders then created in Completed Legislation folder, labelled: Enacted BillsEnacted Bills

Made RegulationsMade Regulations

Not Proceeded WithNot Proceeded With

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Legislative Drafting Email Management (2)(2)

■ PersonalPersonal folder: folder: Current Draft LegislationCurrent Draft Legislation::

PCO 1234 – The Email Re-organisation Bill 2007PCO 1234 – The Email Re-organisation Bill 2007

PCO 1235 – Email Re-organisation Regulation 2007PCO 1235 – Email Re-organisation Regulation 2007

PCO 1236 – Sub-Folder Hierarchy Bill 2007PCO 1236 – Sub-Folder Hierarchy Bill 2007

Completed LegislationCompleted Legislation:: Enacted BillsEnacted Bills

Made RegulationsMade Regulations

Not Proceeded WithNot Proceeded With

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Legislative Drafting Email Management (4)(4)

■ Current Draft Legislation:Current Draft Legislation: PCO 1237 – Email Re-organisation Amendment Bill 2007PCO 1237 – Email Re-organisation Amendment Bill 2007

■ Completed Legislation:Completed Legislation: Enacted Bills:Enacted Bills:

PCO 1234 – The Email Re-organisation Bill 2007PCO 1234 – The Email Re-organisation Bill 2007

Made RegulationsMade Regulations PCO 1235 – Email Re-organisation Regulation 2007PCO 1235 – Email Re-organisation Regulation 2007

Not Proceeded WithNot Proceeded With PCO 1236 – Sub-Folder Hierarchy Bill 2007PCO 1236 – Sub-Folder Hierarchy Bill 2007

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ADMINISTRATIVE EMAIL MANAGEMENT

■ Create Create DocumentumDocumentum folder in Groupwise folder in Groupwise CabinetCabinet

■ Replicate administrative files Replicate administrative files that you usethat you use based based

■ Use Use In-boxIn-box and and Sent-boxSent-box as To-do lists as To-do lists place last email from string into appropriate sub-folderplace last email from string into appropriate sub-folder

delete non-significant email when no longer administratively delete non-significant email when no longer administratively

requiredrequired

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Administrative Email Management (2)

■ File sub-series in titles to aid File sub-series in titles to aid

accessaccess

■ folder access shared with folder access shared with

PCO Records AdministratorPCO Records Administrator

■ automated notification of new automated notification of new

email.email.

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PROBLEMSPROBLEMS

■ Lack of control over naming of folders and sub-foldersLack of control over naming of folders and sub-folders

■ Bulk transfer of email into Documentum:Bulk transfer of email into Documentum: untried and only semi-automateduntried and only semi-automated

■ If the drafter is amending legislation drafted by others, it is If the drafter is amending legislation drafted by others, it is

easier to review email in the physical file than look for it in easier to review email in the physical file than look for it in

DocumentumDocumentum

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Problems (2)Problems (2)

■ Joint Access to Groupwise folders:Joint Access to Groupwise folders: possiblepossible for PCO-wide joint access to folders for PCO-wide joint access to folders, but:, but:

legislative drafting emails have confidentiality issueslegislative drafting emails have confidentiality issues

all who share folder get a notification for every email postedall who share folder get a notification for every email posted

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FUTURE PCO EMAIL SYSTEMFUTURE PCO EMAIL SYSTEM

REQUIREMENTSREQUIREMENTS

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FUTURE EMAIL MANAGEMENT REQUIREMENTSFUTURE EMAIL MANAGEMENT REQUIREMENTS

■ User-friendly interface:User-friendly interface: click and drag transfer into Documentum filesclick and drag transfer into Documentum files

automated duplication deletion:automated duplication deletion:

single instance storage can reduce overall storage up to single instance storage can reduce overall storage up to

80%80%

■ Documentum interface:Documentum interface: ‘‘plug and play’plug and play’

■ Reliability – no more print and fileReliability – no more print and file

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Future Email Management Requirements (2)Future Email Management Requirements (2)

■ Compliance with:Compliance with: Public Records Act 2005Public Records Act 2005

Electronic Recordkeeping Systems StandardElectronic Recordkeeping Systems Standard

best practice recordkeeping principlesbest practice recordkeeping principles

■ Record integrity:Record integrity: Automated restrictions to prevent alterationAutomated restrictions to prevent alteration

preference for preservation of email format preference for preservation of email format

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EMAIL MANAGEMENT EMAIL MANAGEMENT

SOLUTIONS?SOLUTIONS?

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““EMAIL ARCHIVING” TOOLEMAIL ARCHIVING” TOOL

■ Options:Options: build or buy something like Datamail email archiving toolbuild or buy something like Datamail email archiving tool

automated capture based on email title and contentautomated capture based on email title and content

email application search functionality email application search functionality

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PROBLEMSPROBLEMS

■ Indiscriminate records capture:Indiscriminate records capture: false search results/too many search resultsfalse search results/too many search results

no match to physical files, in PCO environment, is crucialno match to physical files, in PCO environment, is crucial

different contexts may use same terminologydifferent contexts may use same terminology

■ Is a storage system, NOT a records management systemIs a storage system, NOT a records management system

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ELECTRONIC DOCUMENT RECORDS ELECTRONIC DOCUMENT RECORDS

MANAGEMENT SYSTEM (EDRMS)MANAGEMENT SYSTEM (EDRMS)

■ User-friendly interface:User-friendly interface: document creator determines document significancedocument creator determines document significance

click and drag transfer of emailclick and drag transfer of email

icons to differentiate between document typesicons to differentiate between document types

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EDRMS (2)EDRMS (2)

■ Integrity of recordIntegrity of record accessible to all users across an officeaccessible to all users across an office

access restrictions to individual folders or files can protect access restrictions to individual folders or files can protect

confidentialityconfidentiality

registered emails can be copied but not alteredregistered emails can be copied but not altered

attachments stay linked to parent emailsattachments stay linked to parent emails

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EDRMS (3)EDRMS (3)

■ Recordkeeping functionality:Recordkeeping functionality:

compliance with ERKSScompliance with ERKSS

automated retention and disposalautomated retention and disposal

integration with current systemsintegration with current systems

integration of physical and electronic filesintegration of physical and electronic files

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EDRMS (4)EDRMS (4)

■ Access:Access: automated assignment of access restrictions to email at:automated assignment of access restrictions to email at:

folder level folder level

document level document level

end-user levelend-user level

editable document titles in EDRMS aid end-user searcheseditable document titles in EDRMS aid end-user searches

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SUMMARYSUMMARY

■ The PCO has to integrate all its recordkeeping systems:The PCO has to integrate all its recordkeeping systems: access to all email by all staffaccess to all email by all staff

integration of physical and electronic filesintegration of physical and electronic files

save staff time and resourcessave staff time and resources

improve office efficiencyimprove office efficiency

best-practice recordkeeping best-practice recordkeeping

compliance with legislation and standardscompliance with legislation and standards

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Summary (2)Summary (2)

■ Create end user awareness of issueCreate end user awareness of issue

■ Even mistakes are better than doing nothingEven mistakes are better than doing nothing

■ Justify the extra resourcesJustify the extra resources

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Stop flirting with email solutions!Stop flirting with email solutions!

Take the plunge!Take the plunge!

Go out on that first date!Go out on that first date!

Take wine!Take wine!

Documents

1 Managing Email at the Parliamentary Counsel Office (PCO): a case study Graeme Thompson, PCO Records Adviser Archives New Zealand Government Recordkeeping