How would you justify funding for the records management function during these financially difficult times for both the private and public sector?
Response:
Excellent question, but is extremely hard to answer. First, I have been very fortunate in my working life to have never been laid off because of the downturn of the economy. Having said that, I am aware of many of the lay offs that have occurred within companies that I have a working relationship.
In one of my earlier employments, layoffs were by many considered an annual event. It was always amazing to look back at the decision process and noticing it was the same management, who got the organization in the state of disrepair, were still there and making the same layoffs decisions. It did not matter that the organization, lets say records management, was efficient or effective, it was pure economics of the times.
However, it did make a difference if you had a sponsor, who recognized the value of the organization, who was high enough up the chain to protect your organization. So, if management or someone high enough on the food chain considers your organization or position of value then your chance for survival is improved.
So what is your value within an organization? If your like many of the professionals in the business of records and information management, you are a probably a one person office with responsibilities for records management, which would include retention, destruction, etc., within your organization or department. Your value to the organization is your technical knowledge of records management and the programs that you manage within the organization. You should be the knowledge base for the organization on records management issues that could effect the organization. You should be in the forefront of providing information on critical issues to management that can effect your organization. Examples are the new HIPPA, UETA and the Sarbanes-Oxley legislative that will impact organizations effected by the new rules for records. Closer to home, in 2002, the Washington State Legislation passed legislation that added a new chapter to Title 19, RCW relating to protecting personal information that added new section on disposal of information and prescribing penalties for violations.
Be pro-active! Write position papers, internal newsletter articles, or conduct presentations to management, departments, etc., outlining the records management requirements and penalties for non-compliance on legislation effecting your organization. In nice way, be in their face. Make sure they are aware of the consequences for failure to comply.
Keep current with the technology that will effect your organization. Attend seminars, vendor shows, association meetings (hint, hint) and meet with your peers to see what and how they are coping.
Try to keep management aware of the cost saving of an effective records management program by the reduction in space, equipment and other resources. Another selling point to emphasize is the reduction in
Litigation costs by effectively managing the destruction of records in the normal course of business.
Wednesday, October 26, 2005
Sunday, October 16, 2005
Is the "Paperless Office" a Myth? - Part 3
Question:
Is the “Paperless Office” a Myth? (Part 3)
Question asked by a participant on the Records Management Internet ListServ.
Response:
This is the third article in the series from a question that arose from an article written in 2002: “The Social Life of Paper” by Malcolm Gladwell, reflecting on how computer technology was supposed to provide the paperless office.
In the third and final part of this series we will explore the evaluation of responses to Request for Proposal (RFP) for an automation project. This evaluation process is critical to the success of your automation project as you will be part of the team evaluating and selecting a vendor who will contribute to the long-term goals of the organization. By this time you, as a records management professional, should be part of the team chosen for the implementation stage of the automation project. At this point, I can not over-emphasize the need to have a team member from the information technology department. It is crucial to the success of the project to have the long-term management support of the information technology department for the maintenance of the software and hardware required for the system being installed and maintained.
The team should consist of:
. Project Manager who would be responsible for the successful implementation of the document
management system.
. Team members from the records management function, information technology department
and those representing functions that will be implementing the document management
system. At some point in time you will want to bring in specialists from other departments to
assist in developing a contract (legal/purchasing/contract compliance).
. Involvement of upper level management by creating visible support for the project through
communications from management to employees within the organization on the importance of
the project to the long-term goals of the organization. Management should also provide the
people and financial resources to successfully implement the project.
. Department Management will be responsible for availability of their resources to assist the
project team in the implementation of the system.
. Department personnel who will be affected in the process should be part of the solution by
keeping them informed of the status and their role in the successful implementation of the
system.
Some things that should be considered by the project team as they evaluate vendor responses to RFP(s):
. The Project Manager, with the assistance of the team members, should develop a standard
grading system for evaluating the RFP(s). If you have a formal project management
department they may already have a system to use as a guide and/or provide guidance.
. Evaluate the RFP(s) returned by the vendors.
. Request that the selected vendors demonstrate the software. Prepare a list of questions to
ask the vendors at the demonstration.
Prepare a list of questions to ask customers of the vendor that have been submitted as references. This is the stage where you call or visit sites that are currently using the system being evaluated. Some questions to ask:
. What records management modules are being utilized by the company?
. For modules not being used, ask the questions why?
. Get their opinions on pros and cons of their system.
. What they would do over if they had the opportunity?
. How effective was the training provided by the vendor?
. Were the reports provided by the vendor sufficient for their startup? If not, why?
. Are they satisfied with the after-sale technical support to answer your questions and/or fix
technical problems?
. Locate other users that were not included in the vendor-supplied list of users. Call/ or visits
and ask the same questions as you would for the customers the vendor listed in the RFP.
Rank the vendors and select the vendor to implement the document management system. Have the appropriate business function prepare the contract with the winning vendor (purchasing/legal). Assist in the preparation of the contract as necessary to insure appropriate information on the requirements that are part of the contract.
Prepare for the implementation stage of the project. One of the costly parts of any implementation is the conversion of your current data to the new system. I highly recommend and cannot over-emphasize the need to clean up your data before it is transferred to the new system. Remember the “Garbage In, Garbage Out”? If you don’t clean it up before it is transferred this data may cause problems in the conversion and incur additional unforeseen costs.
While the “Paperless Office” is still a myth, implementation of an electronic document management system will, if properly implemented, provide the start of a program that will enhance your records management program and allow for the successful transfer and management of your paper documents in an electronic document management system.
Is the “Paperless Office” a Myth? (Part 3)
Question asked by a participant on the Records Management Internet ListServ.
Response:
This is the third article in the series from a question that arose from an article written in 2002: “The Social Life of Paper” by Malcolm Gladwell, reflecting on how computer technology was supposed to provide the paperless office.
In the third and final part of this series we will explore the evaluation of responses to Request for Proposal (RFP) for an automation project. This evaluation process is critical to the success of your automation project as you will be part of the team evaluating and selecting a vendor who will contribute to the long-term goals of the organization. By this time you, as a records management professional, should be part of the team chosen for the implementation stage of the automation project. At this point, I can not over-emphasize the need to have a team member from the information technology department. It is crucial to the success of the project to have the long-term management support of the information technology department for the maintenance of the software and hardware required for the system being installed and maintained.
The team should consist of:
. Project Manager who would be responsible for the successful implementation of the document
management system.
. Team members from the records management function, information technology department
and those representing functions that will be implementing the document management
system. At some point in time you will want to bring in specialists from other departments to
assist in developing a contract (legal/purchasing/contract compliance).
. Involvement of upper level management by creating visible support for the project through
communications from management to employees within the organization on the importance of
the project to the long-term goals of the organization. Management should also provide the
people and financial resources to successfully implement the project.
. Department Management will be responsible for availability of their resources to assist the
project team in the implementation of the system.
. Department personnel who will be affected in the process should be part of the solution by
keeping them informed of the status and their role in the successful implementation of the
system.
Some things that should be considered by the project team as they evaluate vendor responses to RFP(s):
. The Project Manager, with the assistance of the team members, should develop a standard
grading system for evaluating the RFP(s). If you have a formal project management
department they may already have a system to use as a guide and/or provide guidance.
. Evaluate the RFP(s) returned by the vendors.
. Request that the selected vendors demonstrate the software. Prepare a list of questions to
ask the vendors at the demonstration.
Prepare a list of questions to ask customers of the vendor that have been submitted as references. This is the stage where you call or visit sites that are currently using the system being evaluated. Some questions to ask:
. What records management modules are being utilized by the company?
. For modules not being used, ask the questions why?
. Get their opinions on pros and cons of their system.
. What they would do over if they had the opportunity?
. How effective was the training provided by the vendor?
. Were the reports provided by the vendor sufficient for their startup? If not, why?
. Are they satisfied with the after-sale technical support to answer your questions and/or fix
technical problems?
. Locate other users that were not included in the vendor-supplied list of users. Call/ or visits
and ask the same questions as you would for the customers the vendor listed in the RFP.
Rank the vendors and select the vendor to implement the document management system. Have the appropriate business function prepare the contract with the winning vendor (purchasing/legal). Assist in the preparation of the contract as necessary to insure appropriate information on the requirements that are part of the contract.
Prepare for the implementation stage of the project. One of the costly parts of any implementation is the conversion of your current data to the new system. I highly recommend and cannot over-emphasize the need to clean up your data before it is transferred to the new system. Remember the “Garbage In, Garbage Out”? If you don’t clean it up before it is transferred this data may cause problems in the conversion and incur additional unforeseen costs.
While the “Paperless Office” is still a myth, implementation of an electronic document management system will, if properly implemented, provide the start of a program that will enhance your records management program and allow for the successful transfer and management of your paper documents in an electronic document management system.
Is the "Paperless Office" a Myth? - Part 2
Question:
Is the “Paperless Office” a Myth? (Part 2)
Question asked by a participant on the Records Management Internet ListServ.
Response:
This is the second article in the series from a question that arose from an article written in 2002: “The Social Life of Paper” by Malcolm Gladwell, reflecting on how computer technology was supposed to replace paper and it did not.
In this part of the series we will examine some of the issues that you may face if you decide to continue your quest for the “paperless office”. Let’s assume that your company is still interested in developing a system to manage records in electronic format. What are some of the steps that you should take in developing a system? We will also assume that you have a management sponsor high level within your organization, some money for research, and you have established a core team consisting of, at the minimum, a representative from the department that wants to develop the system, an information technology department representative, plus a records information management specialist.
The next step would be to develop a needs analysis of the department to determine:
. Overview of the existing records management practices.
. Vision of the future
. Detail of the current documents and workflow
Needs discussion:
. Immediate goals
. Long term goals
. Timeframes
. Challenges or constraints
. Technology available within the organization that can be incorporated or use in the new
system.
. Integration with other system
. Next Steps and Expectations
. Prepare an Executive Summary of the project for Management review and approval.
On completion of the needs analysis you should have a better understanding of the requirements of the department and whether or not to proceed. If management approves your recommendations and funding is available, you should be able to then develop the next stage of the process by being able to:
. Research to determine what vendors are qualified to accomplish the project.
. Do a pre-request for proposal (RFP) evaluation of vendors and reduce to only those that
appear to have the qualifications to accomplish the project.
. Visit and/or call other like organizations that have adopted an electronic document
management system and collect the pros/cons or lessons learned in the implementation of
their system.
. Attend seminars, annual conferences (AIIM and ARMA), to increase your knowledge on the
subject.
. Check the ARMA and AIIM Bookstore for publications that will increase your knowledge on
the subject.
. Considering hiring an outside consultant in document management to evaluate and/or manage
the project.
. Prepare a Request for Proposal (RFP), if required by the organization, using the information
collected in analysis phase of the project.
. Submit the RFP to the vendors.
In the next article in this series we will explore the evaluation stage of the received Request for Proposals.
Is the “Paperless Office” a Myth? (Part 2)
Question asked by a participant on the Records Management Internet ListServ.
Response:
This is the second article in the series from a question that arose from an article written in 2002: “The Social Life of Paper” by Malcolm Gladwell, reflecting on how computer technology was supposed to replace paper and it did not.
In this part of the series we will examine some of the issues that you may face if you decide to continue your quest for the “paperless office”. Let’s assume that your company is still interested in developing a system to manage records in electronic format. What are some of the steps that you should take in developing a system? We will also assume that you have a management sponsor high level within your organization, some money for research, and you have established a core team consisting of, at the minimum, a representative from the department that wants to develop the system, an information technology department representative, plus a records information management specialist.
The next step would be to develop a needs analysis of the department to determine:
. Overview of the existing records management practices.
. Vision of the future
. Detail of the current documents and workflow
Needs discussion:
. Immediate goals
. Long term goals
. Timeframes
. Challenges or constraints
. Technology available within the organization that can be incorporated or use in the new
system.
. Integration with other system
. Next Steps and Expectations
. Prepare an Executive Summary of the project for Management review and approval.
On completion of the needs analysis you should have a better understanding of the requirements of the department and whether or not to proceed. If management approves your recommendations and funding is available, you should be able to then develop the next stage of the process by being able to:
. Research to determine what vendors are qualified to accomplish the project.
. Do a pre-request for proposal (RFP) evaluation of vendors and reduce to only those that
appear to have the qualifications to accomplish the project.
. Visit and/or call other like organizations that have adopted an electronic document
management system and collect the pros/cons or lessons learned in the implementation of
their system.
. Attend seminars, annual conferences (AIIM and ARMA), to increase your knowledge on the
subject.
. Check the ARMA and AIIM Bookstore for publications that will increase your knowledge on
the subject.
. Considering hiring an outside consultant in document management to evaluate and/or manage
the project.
. Prepare a Request for Proposal (RFP), if required by the organization, using the information
collected in analysis phase of the project.
. Submit the RFP to the vendors.
In the next article in this series we will explore the evaluation stage of the received Request for Proposals.
Is the "Paperless Office" a Myth? - Part 1
Question:
Is the “Paperless Office” a Myth? (Part 1)
Question asked by a participant on the Records Management ListServ.
Response:
This is an excellent question that arose from an article written in 2002 : “The Social Life of Paper” by Malcolm Gladwell, reflecting on how computer technology was supposed to replace paper and it did not.
One of the comments in a reply on the listserv from one of my respected professional colleagues was; “A sad commentary about our profession is that a lot of RM folks don’t want to change; they like paper and are very resistant”.
I believe I have been a consistent advocate for the use of responsible electronic document systems to clients, friends, or anyone who has the patience to listen my reasoning for a system. I still do not agree with the blanket statement that we, as records and information managers, do not want to change.
Although I have advocated use of responsible electronic document management systems to clients, I do not totally agree with this blanket statement about records and information managers’ resistance to change. I still like paper when working for the ease of putting them in order for my article or project work. I find it much easier to put all my reference information in one location. I find hard to review documents in electronic format and work with paper at the same time. For example: While working on most of my articles I collect the reference material from many sources, both in paper and electronic, but working with 2 separate formats is difficult. Yes, I could scan the paper documents into PDF or TIF for reference, but that’s another added step in the process of developing the article. It’s a distraction . Once the article is finished, one copy is printed and filed with the reference documents for future use. The electronic version is retained and filed chronologically in an electronic folder under “Ask the CRM”. My intentions are to download the electronic version to a CD for storage when I finish writing my article.
I’m always surprised when I read earlier articles I have written, not because they are works of literature, but that I had the nerve to do it in the first place.
For my clients, I provide a printed copy of processes and procedures with an electronic version for their use in maintaining and updating the document. I also provide an extra copy on CD for security backup.
Although I do have reservations on managing records in an electronic document management system I do not think this makes me one who does not want to change, but rather one who recognizes the limitations of computer technology.
I still get a chill running up and down my spine when I hear vendors or read articles in the technology magazines that still advocate “scan it all”. I was pleased when visiting the vendor booths at the ARMA International Conference in Long Beach that they were not pushing the “scan it all” theme. Most of the major players seemed to stress the notion that you should conduct a thorough evaluation of what should and should not be scanned. Do a Cost analysis and/or a Return on Investment (ROI). Wow, what a concept! That is good news for the records management professional.
However, not everyone prescribes to these concepts. For an example, I was recently approached as a CRM to review records of a company and tell them what to keep, not to keep and what to scan and not to scan. The funny part, they had already committed to scanning, and now they wanted an evaluation of what to scan. For some reason it seems backward to me.
Are there Record Manager’s who are reluctant to change. Absolutely! But consider that are there other reasons for the reluctance to embrace the “paperless office”. I contend that one of the major hurdles for the establishment of the “paperless office” is cost. A few years ago you could purchase a fairly good stand-alone electronic document management system for about $10,000. Now I doubt that you could purchase a system from one of the major vendors for less than $30,000. That figure probably does not include equipment, training or conversion costs. Plus, you will need to toss in the annual maintenance costs and software upgrades. It is not an inexpensive method of managing information.
I urge anyone who is considering the development of an electronic document management system to spend time in seminars on the subject and talk with peers who have implemented a system to discover how they are using it, the pros and cons of the system. This background research will help you to develop knowledge of the subject and make the right decisions when establishing and implementing an electronic document management system.
Is the “Paperless Office” a Myth? (Part 1)
Question asked by a participant on the Records Management ListServ.
Response:
This is an excellent question that arose from an article written in 2002 : “The Social Life of Paper” by Malcolm Gladwell, reflecting on how computer technology was supposed to replace paper and it did not.
One of the comments in a reply on the listserv from one of my respected professional colleagues was; “A sad commentary about our profession is that a lot of RM folks don’t want to change; they like paper and are very resistant”.
I believe I have been a consistent advocate for the use of responsible electronic document systems to clients, friends, or anyone who has the patience to listen my reasoning for a system. I still do not agree with the blanket statement that we, as records and information managers, do not want to change.
Although I have advocated use of responsible electronic document management systems to clients, I do not totally agree with this blanket statement about records and information managers’ resistance to change. I still like paper when working for the ease of putting them in order for my article or project work. I find it much easier to put all my reference information in one location. I find hard to review documents in electronic format and work with paper at the same time. For example: While working on most of my articles I collect the reference material from many sources, both in paper and electronic, but working with 2 separate formats is difficult. Yes, I could scan the paper documents into PDF or TIF for reference, but that’s another added step in the process of developing the article. It’s a distraction . Once the article is finished, one copy is printed and filed with the reference documents for future use. The electronic version is retained and filed chronologically in an electronic folder under “Ask the CRM”. My intentions are to download the electronic version to a CD for storage when I finish writing my article.
I’m always surprised when I read earlier articles I have written, not because they are works of literature, but that I had the nerve to do it in the first place.
For my clients, I provide a printed copy of processes and procedures with an electronic version for their use in maintaining and updating the document. I also provide an extra copy on CD for security backup.
Although I do have reservations on managing records in an electronic document management system I do not think this makes me one who does not want to change, but rather one who recognizes the limitations of computer technology.
I still get a chill running up and down my spine when I hear vendors or read articles in the technology magazines that still advocate “scan it all”. I was pleased when visiting the vendor booths at the ARMA International Conference in Long Beach that they were not pushing the “scan it all” theme. Most of the major players seemed to stress the notion that you should conduct a thorough evaluation of what should and should not be scanned. Do a Cost analysis and/or a Return on Investment (ROI). Wow, what a concept! That is good news for the records management professional.
However, not everyone prescribes to these concepts. For an example, I was recently approached as a CRM to review records of a company and tell them what to keep, not to keep and what to scan and not to scan. The funny part, they had already committed to scanning, and now they wanted an evaluation of what to scan. For some reason it seems backward to me.
Are there Record Manager’s who are reluctant to change. Absolutely! But consider that are there other reasons for the reluctance to embrace the “paperless office”. I contend that one of the major hurdles for the establishment of the “paperless office” is cost. A few years ago you could purchase a fairly good stand-alone electronic document management system for about $10,000. Now I doubt that you could purchase a system from one of the major vendors for less than $30,000. That figure probably does not include equipment, training or conversion costs. Plus, you will need to toss in the annual maintenance costs and software upgrades. It is not an inexpensive method of managing information.
I urge anyone who is considering the development of an electronic document management system to spend time in seminars on the subject and talk with peers who have implemented a system to discover how they are using it, the pros and cons of the system. This background research will help you to develop knowledge of the subject and make the right decisions when establishing and implementing an electronic document management system.
Thursday, October 13, 2005
Getting ready to implement EDMS?
What should we be doing to get ready for implementation of an electronic document management system?
Question was recently asked by a customer.
Response:
Where do we start? I was thinking back to the days when I was working for a large company and we were preparing for the implementation of a software program to manage both our electronic and paper documents. What were some of the key areas that we worked on to insure a successful implementation? What were some of the surprises that we found in implementing the system? In this article I will provide you with a few key areas that will, if properly done, make the transition to a document management system smoother.
Key Areas:
§ Records management module
§ Current users
§ Data Conversion
Records Management Module
Believe it or not; not all software programs that were advertised as document management solutions have records management functionality! While the system may have the ability to store, retrieve and ultimately reflect the destruction of the document, it may not have the document retention portion built-in. If I was still in the early stages of the selection process I would recommend, at the minimum, reviewing the U.S. Government Department of Defense website http://jitc.fhu.disa.mil/recmgt/register.html that has the DoD 5015.2-STD Compliant Product registers of companies that meet their minimum standards for records management software. The website also has information on records management requirements and testing methods. It’s a good starting point in the selection process.
Current Users
I cannot overemphasize the utilization of outside users of the software as a resource on the pros and cons of the document management system. I have been surprised over the years at the number of companies that have purchased EDM software, but are not using all of the capabilities of the program. Many, if not all, of the major vendors provide the names of users and may have established user groups for their customers. If a user group does not yet exist, I would cultivate a small group of users who would be willing to share information. If you and others in your group of users find that something doesn’t work or may have recommendations for improving the product, let the vendor know. About a year and half ago I was working with a product that did not have the capability to sort the information in the system to review retention data and file classification. When I brought it to the attention of the vendor they included the recommendation in the product update.
Data Conversion
Without a doubt the conversion of information from an old system to the new is probably one of the big money makers for the vendors. If the information in your current system has structure problems (consistent file titles, names, places, etc.) and/or you have used symbols ( /, @, ( ) that may not be recognized by the new system, or just plain errors, the conversion process maybe quite costly. Remember the old saying “GIGO” (garbage in, garbage out)? If your data can be reviewed and corrected, try to do it before the vendor conversion process. Remember, they may charge by the hour. I have talked with many users of new EDM software and some have elected to re-key the information into the new system because the information was in such poor condition originally. When the data is clean the transition will be much more effective.
The key to the success of any project, including implementation of an EDM system, is trying to minimize errors that may occur. In this particular case, try to anticipate problem areas prior to implementation.
Question was recently asked by a customer.
Response:
Where do we start? I was thinking back to the days when I was working for a large company and we were preparing for the implementation of a software program to manage both our electronic and paper documents. What were some of the key areas that we worked on to insure a successful implementation? What were some of the surprises that we found in implementing the system? In this article I will provide you with a few key areas that will, if properly done, make the transition to a document management system smoother.
Key Areas:
§ Records management module
§ Current users
§ Data Conversion
Records Management Module
Believe it or not; not all software programs that were advertised as document management solutions have records management functionality! While the system may have the ability to store, retrieve and ultimately reflect the destruction of the document, it may not have the document retention portion built-in. If I was still in the early stages of the selection process I would recommend, at the minimum, reviewing the U.S. Government Department of Defense website http://jitc.fhu.disa.mil/recmgt/register.html that has the DoD 5015.2-STD Compliant Product registers of companies that meet their minimum standards for records management software. The website also has information on records management requirements and testing methods. It’s a good starting point in the selection process.
Current Users
I cannot overemphasize the utilization of outside users of the software as a resource on the pros and cons of the document management system. I have been surprised over the years at the number of companies that have purchased EDM software, but are not using all of the capabilities of the program. Many, if not all, of the major vendors provide the names of users and may have established user groups for their customers. If a user group does not yet exist, I would cultivate a small group of users who would be willing to share information. If you and others in your group of users find that something doesn’t work or may have recommendations for improving the product, let the vendor know. About a year and half ago I was working with a product that did not have the capability to sort the information in the system to review retention data and file classification. When I brought it to the attention of the vendor they included the recommendation in the product update.
Data Conversion
Without a doubt the conversion of information from an old system to the new is probably one of the big money makers for the vendors. If the information in your current system has structure problems (consistent file titles, names, places, etc.) and/or you have used symbols ( /, @, ( ) that may not be recognized by the new system, or just plain errors, the conversion process maybe quite costly. Remember the old saying “GIGO” (garbage in, garbage out)? If your data can be reviewed and corrected, try to do it before the vendor conversion process. Remember, they may charge by the hour. I have talked with many users of new EDM software and some have elected to re-key the information into the new system because the information was in such poor condition originally. When the data is clean the transition will be much more effective.
The key to the success of any project, including implementation of an EDM system, is trying to minimize errors that may occur. In this particular case, try to anticipate problem areas prior to implementation.
"Best Practices" for the Management of Engineering Project Files
“Ask the CRM” - Bob Dalton, CRM
Question:
Are there “best practices” for the management of engineering project files?
Question was recently asked by a potential customer
Response:
Many of my colleagues and I have struggled over the years with the need for some type of system to organize engineering project files. Unfortunately, the variables among different organizations make a system that works for everyone almost impossible.
In a recent discussion on a classification system on the records management listserv, Virginia A. Jones, CRM, stated that “Engineers each have their own STRONG opinions about how the documents should be arranged and why”. I agree. It has been my experience, that you must find a way to have the client express their requirements in their terms to find a methodology to manage their project files.
For a number of years I have managed engineering drawing and project files using various classification methods. One company used an elaborate classification scheme based on their financial coding system for engineering projects. It was a very large classification scheme, but if used properly it was effective. Another company used a scheme established by the Construction Specifications Institute (www.csinet.org) that was also referred by Virginia Jones in her listserv message. I have also used as a reference guide “Records in Architectural Offices: Suggestions for the Organization, Storage and Conservation of Architectural Office Archives” by Nancy Carlson Schrock and Mary Campbell Cooper, which is available through the ARMA bookstore (www.arma.org).
In a recent consulting job I was asked to develop a system to manage engineering project files. The organization consisted of engineering project managers who managed specific projects, some large and some small. The department provided minimal administrative support and each project manager managed their own document collection. Each project manager had their personal idea of what should be retained; from ‘toss most’ to ‘keep most’. A large part of my role as a consultant was listening to what the engineers perceived as their document management requirements and then assisting them to come to a consensus.
I inventoried the project documents, active and inactive, of each project manager to determine the type of records they were maintaining. In addition, I also inventoried the department reference file of documents retained for each facility/location. Once completed, I classified the collection into four groups as follows:
§ Administrative
§ Financial
§ Legal
§ Engineering
The listing was presented in alphabetical order to the clients for their review and input. Once they are agreed, I then matched the records against the legal retention requirements for a public agency. This was accomplished by classification of the collection into four groups of records that would be transferred to storage on termination of the project. The documents types are as follows:
§ Temporary (transitory) documents that could be destroyed on termination of the project
§ Short term retention (Termination + 6 years)
§ Long term retention that also required approval of the state archivist prior to destruction (not necessary to gain permission if they have a retention schedule unless they have potential archival value).
§ Documents that would be transferred to the facility reference file (is this a central reference file?).
The listing was again forwarded to the clients for their review and approval. Once approved by the client, a template was created to be used as a filing guide for classifying documents/records into their collection and for the final disposition documents on closure of the project.
The key to the success of the project, or any project, is listening to the client and then developing a methodology that will work in their specific environment. In this particular case, a simple system was developed that could be used by a department that provided limited administrative support to the project managers.
Note: My thanks to Barbara Werelius, Records Manager and Guru at Tacoma Public Utilities, and the Puget Sound Chapter of ARMA for her assistance in the development of this article.
Question:
Are there “best practices” for the management of engineering project files?
Question was recently asked by a potential customer
Response:
Many of my colleagues and I have struggled over the years with the need for some type of system to organize engineering project files. Unfortunately, the variables among different organizations make a system that works for everyone almost impossible.
In a recent discussion on a classification system on the records management listserv, Virginia A. Jones, CRM, stated that “Engineers each have their own STRONG opinions about how the documents should be arranged and why”. I agree. It has been my experience, that you must find a way to have the client express their requirements in their terms to find a methodology to manage their project files.
For a number of years I have managed engineering drawing and project files using various classification methods. One company used an elaborate classification scheme based on their financial coding system for engineering projects. It was a very large classification scheme, but if used properly it was effective. Another company used a scheme established by the Construction Specifications Institute (www.csinet.org) that was also referred by Virginia Jones in her listserv message. I have also used as a reference guide “Records in Architectural Offices: Suggestions for the Organization, Storage and Conservation of Architectural Office Archives” by Nancy Carlson Schrock and Mary Campbell Cooper, which is available through the ARMA bookstore (www.arma.org).
In a recent consulting job I was asked to develop a system to manage engineering project files. The organization consisted of engineering project managers who managed specific projects, some large and some small. The department provided minimal administrative support and each project manager managed their own document collection. Each project manager had their personal idea of what should be retained; from ‘toss most’ to ‘keep most’. A large part of my role as a consultant was listening to what the engineers perceived as their document management requirements and then assisting them to come to a consensus.
I inventoried the project documents, active and inactive, of each project manager to determine the type of records they were maintaining. In addition, I also inventoried the department reference file of documents retained for each facility/location. Once completed, I classified the collection into four groups as follows:
§ Administrative
§ Financial
§ Legal
§ Engineering
The listing was presented in alphabetical order to the clients for their review and input. Once they are agreed, I then matched the records against the legal retention requirements for a public agency. This was accomplished by classification of the collection into four groups of records that would be transferred to storage on termination of the project. The documents types are as follows:
§ Temporary (transitory) documents that could be destroyed on termination of the project
§ Short term retention (Termination + 6 years)
§ Long term retention that also required approval of the state archivist prior to destruction (not necessary to gain permission if they have a retention schedule unless they have potential archival value).
§ Documents that would be transferred to the facility reference file (is this a central reference file?).
The listing was again forwarded to the clients for their review and approval. Once approved by the client, a template was created to be used as a filing guide for classifying documents/records into their collection and for the final disposition documents on closure of the project.
The key to the success of the project, or any project, is listening to the client and then developing a methodology that will work in their specific environment. In this particular case, a simple system was developed that could be used by a department that provided limited administrative support to the project managers.
Note: My thanks to Barbara Werelius, Records Manager and Guru at Tacoma Public Utilities, and the Puget Sound Chapter of ARMA for her assistance in the development of this article.
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