Cleanup or Annual Review

“Ask the CRM” - Bob Dalton, CRM

Question:

Do you have any tips on doing an agency-wide or company -wide records cleanup or annual review?

Question was recently asked by an administrator during a review of their department’s filing system.

Response:

This question has been near and dear to my heart throughout my career in records management. I was probably thinking back to the good old days when I was in another occupation and could go to my trusty manuals and follow a well-organized system that was used to manage military records. With few exceptions, we knew exactly what was required to be destroyed, stored, shipped and/or moved by following the instructions. We boxed up files for transfer to storage; created a new file list and file folders for the records we would use in the coming year and destroyed records that were due for destruction. No ifs ands or buts’; we just did it. Our authority to destroy records was in the procedures manual and we were expected to comply. No begging, pleading, or bargaining with employees who only want to have the records reviewed and destroyed one day after they retire!

Then I moved on into the public sector in records management and I felt like I had stepped back into the Stone Age of document management. While an organization may have a good records management program on paper, with all the proper policies and procedures, there has been one constant; the lack of consistent review of records past their retention period. I am sure that many of you can relate to this problem. As I have stated in previous articles, this is not unique to any one organization, private or public. Without a systematic approach and someone assigned to manage the program this problem is inevitable.

Here are a few things that I have found that work effectively with any records review:

 If you have a records management database, create a listing of records that are due for destruction for each client. Annotate those that may be over- due for review. If you suspect an error in the retention period, write a comment on the index that the record may require additional retention.
 As Ellie’s father said in the movie ‘Contact’; “Small steps Ellie, small steps”. The same goes with a records cleanup. If you cannot get an approval of destruction for a large amount of files or boxes, arrange to review them in small amounts. You will have a better chance of getting the cooperation of the reviewer if they are not overwhelmed by the task. The smaller the amount of records the client has to review the better.
 Try to secure a dedicated room to store and review the records so the client does not have clutter in his/her area. You probably already have the clutter in your own office!! If you have a collection if you have a collection of records off-site at a commercial records center you may be able to arrange a room to view the records at their site. Remember to check what or if the vendor charges to use their room.
 Try to have the client set aside specific time during the work day for review and management of their records. Emphasize the importance of time management.
 If the actual owner of the records cannot or refuses to complete the review, see if the owner or person with the authority to approve the destruction would be willing to have someone else who is knowledgeable perform the task. If you have a large volume of boxes due for destruction, select the easiest and smallest collection for the initial review.
 Try to secure a champion from upper management who will help promote an annual records review program so that is becomes a requirement, not an option.
 Review all boxes in storage to insure that they have an appropriate retention period. Establish and create your destruction notices based on the correct and updated information. Once you have destroyed the backlog, the annual review should become much easier if done on a regular basis.
 If you have an onsite records center and/or special areas to store records, do not let them become a dumping ground for non-records. Insist on control of the environment to insure the protection of the records from unauthorized use and review. Lack of environmental controls is a risky business. I have taken photographs of poorly managed storage areas and used them successfully in presentations to management to emphasize potential risk to their organizations.

The cleanup process is probably one of the more stressful parts of a records managers duties. However, when you have completed the cleanup of the backlog you should feel satisfaction for successfully accomplishing the task.

BobDalton, CRM of Dalton Consulting

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. Other articles by Mr. Dalton can be reviewed and copied at his BLOG site: askthecrm.blogspot.com