While reviewing my daily dose of email messages on the Records Management ListServ (RECMGMT-L@LISTS.UFL.EDU) the question was asked “how do you manage to retrieve files that have been checked out for a long period of time?”
This was an excellent topic that I believe most records managers have struggled with and some of the responses by our peers provided some good suggestions on the Records Management ListServ. Here are some of their suggestions:
• Barbara Wyton, on 8/20/2009 had two methods:
o She attached a bright yellow sticker to every individual file removed from their custody. It identified the file as archived material and instructed them to return it to their records center.
o She reviewed the database quarterly for files that had not been returned. She sent an email listing the items checked out to the individual and requested they return the item or indicate how much longer they needed to retain the records.
• Gary Link, 6/20/2009:
o Sends out periodic email reminders that included the file identification, retrieval date, and requests that they return the files if they are finished using them.
• Steve Morgan, 8/20/2009:
o Runs a report once a month listing files that have been out for an extended amount of time and sends an email message requesting the files be returned to the file center
Over the years I have seen variations of the methods listed above. Some of the methods I have seen and used are:
• Prepared and attached a document to the file and/or box that stated the files are “official corporate records” that have been retrieved for use by the requestor and must be returned within 30 days.
. A charge out card is placed in the spot where the file was retrieved and lists the requestor’s name, telephone number, file code, file name and date retrieved. The cards are reviewed monthly for any files out over a month. An email message is sent to the individual requesting they return the file and/or send a response indicating how much longer the files are required.
. A simpler system using a clip board with a charge out sheet can be used with instructions on how to fill out the form. The individual can fill out the form with the file code and name, their name, telephone number and date checked out. The clip board is checked monthly and an email message is sent to the individual emphasizing that the files are “official corporate records” requesting the return of the files and/or a response indicating how much longer the files are required.
• For records in an electronic document management system that uses barcode technology to track the files and/or boxes I pulled a monthly listing and emailed the person who checked out the records, again emphasizing the files/boxes are “official corporate records” and request their return to the records center. Records management software may be able to generate reminder notices sent to users on a schedule established by the records manager. A telephone call may be required for users who do not respond to your email message.
• I have prepared and posted signs in the file room and/or on cabinets with instructions on how to sign out and return records for re-filing. I also provided an in-box where the users were instructed to put files when they returned them for re-filing. All re-filing was accomplished by the records staff to preclude misfiles.
Unfortunately, many organizations do not have staff to manage their records and/or give the responsibility to an individual who has been assigned the task without the necessary training. When working with clients who have shipped their records to an outside vendor’s record center and/or manages an in-house records center I have recommended they have central control or management of all records sent into storage. A listing should be retained of all files/boxes retrieved by file name, box/barcode number, requestors name, phone number and date retrieved from storage with a suspense date established for return of the files/boxes by the requestor. If the file/box is not returned by the suspense date an appropriate follow-up should be taken to insure the return of the files/boxes to the proper storage location. Again, a follow-up phone call to the requestor may be necessary for those who did not respond to your email message.
I also recommend the records manager be part of the out processing clearance of employees departing the company so they can determine that the individual does not have any “official corporate records” checked out.
You may also want to check out other resources on the management records available through the ARMA bookstore at www.arma.org.
Tuesday, September 22, 2009
Sunday, June 07, 2009
Keeping Up with Technology
Question: I was recently asked by a client who is an information technology manager how I keep up with all the changes in technology that effect document management.
Response:
This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.
Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.
One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.
I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.
As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.
While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.
Response:
This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.
Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.
One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.
I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.
As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.
While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.
How do you develop a retention schedule?
Part II
I was asked this question by a department manager who was considering the development of a records management program for his department.
In a previous article in the May, 2009 issue of ‘Soundings’ I stated that the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.
The inventory process is also an excellent way to identify possible work process changes and identify records or reports that may no longer be required within the organization. This is where a flow chart may be useful to determine who sends or receives the documents. When I am working with a client I will ask the following questions:
• “What function does your position perform within the organization?”
• “What is your primary responsibility?”
• “What records are you responsible for?”
Records Appraisal and Retention Schedule Development
Once you have the inventory completed, the next stage in the development of a retention schedule is the appraisal of the records listed on the inventory. Types of informational values may include:
• Legal and regulatory value: records required by federal, state, county statues and regulations and form the basis for the retention period established for your records. Following the legal regulations demonstrates your compliance on maintaining your records.
• Fiscal Value: These are records that relate to the financial transactions of the organization and are required for audits and tax purposes.
• Administrative/Operational Value: These are normally records that do not have a legal, regulatory or fiscal value to the organization. They document activities within the organization and are created in the performance of the function. The record owner usually knows how long the records should be retained.
• Historic Value: If the organization has an official archives in-house the records maybe reviewed to see if they document the historic development of the organization. A question on the inventory form may be used to identify those records that may be considered archival.
Some organizations may also evaluate records that they considered as vital. These are records containing information that would be vital to business resumption in the event of a disaster. A question on the inventory form may be used to identify records that may be considered vital. You want to note that the record is vital on your retention schedule and may require additional protection by duplication.
The records appraisal also includes the need to conduct some research into the legal and regulatory (which includes fiscal) retention requirements for the records within your collection.
Some resources for legal research are:
• Software:
o Information Housing Clearing House – Retention Manager 3 (http://www.irch.com/index.htm)
o Zasio - Retention 7 (www.zasio.com)
• Federal (http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1)
Washington State – WAC (http://apps.leg.wa.gov/wac/) or RCW (http://apps.leg.wa.gov/)
• Washington State Secretary of State: http://www.secstate.wa.gov/archives/gs_local.aspx
• ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
• Directory of State Archives and Records Management Programs www.statearchivists.org/states.htm#hi
• Associations may have established a generic retention schedules
• Users within the department may know of a legal requirement.
Once you have completed the legal research and developed the retention schedule you should have the schedule reviewed and approved by an approving authority within the organization to insure that the schedule meets the legal/operational needs. Some of the reviewers could be:
• Legal
• Auditor
• Financial Manager
• Tax
• Department
• Corporate Records Manager
• Corporate Records Committee (major owners of the records)
Additional Resources
Resources that I have used in the past for assistance in creating retention schedules have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
You may also want to check out other resources on retention schedule development that are available through the ARMA bookstore at www.arma.org.
I was asked this question by a department manager who was considering the development of a records management program for his department.
In a previous article in the May, 2009 issue of ‘Soundings’ I stated that the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.
The inventory process is also an excellent way to identify possible work process changes and identify records or reports that may no longer be required within the organization. This is where a flow chart may be useful to determine who sends or receives the documents. When I am working with a client I will ask the following questions:
• “What function does your position perform within the organization?”
• “What is your primary responsibility?”
• “What records are you responsible for?”
Records Appraisal and Retention Schedule Development
Once you have the inventory completed, the next stage in the development of a retention schedule is the appraisal of the records listed on the inventory. Types of informational values may include:
• Legal and regulatory value: records required by federal, state, county statues and regulations and form the basis for the retention period established for your records. Following the legal regulations demonstrates your compliance on maintaining your records.
• Fiscal Value: These are records that relate to the financial transactions of the organization and are required for audits and tax purposes.
• Administrative/Operational Value: These are normally records that do not have a legal, regulatory or fiscal value to the organization. They document activities within the organization and are created in the performance of the function. The record owner usually knows how long the records should be retained.
• Historic Value: If the organization has an official archives in-house the records maybe reviewed to see if they document the historic development of the organization. A question on the inventory form may be used to identify those records that may be considered archival.
Some organizations may also evaluate records that they considered as vital. These are records containing information that would be vital to business resumption in the event of a disaster. A question on the inventory form may be used to identify records that may be considered vital. You want to note that the record is vital on your retention schedule and may require additional protection by duplication.
The records appraisal also includes the need to conduct some research into the legal and regulatory (which includes fiscal) retention requirements for the records within your collection.
Some resources for legal research are:
• Software:
o Information Housing Clearing House – Retention Manager 3 (http://www.irch.com/index.htm)
o Zasio - Retention 7 (www.zasio.com)
• Federal (http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1)
Washington State – WAC (http://apps.leg.wa.gov/wac/) or RCW (http://apps.leg.wa.gov/)
• Washington State Secretary of State: http://www.secstate.wa.gov/archives/gs_local.aspx
• ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
• Directory of State Archives and Records Management Programs www.statearchivists.org/states.htm#hi
• Associations may have established a generic retention schedules
• Users within the department may know of a legal requirement.
Once you have completed the legal research and developed the retention schedule you should have the schedule reviewed and approved by an approving authority within the organization to insure that the schedule meets the legal/operational needs. Some of the reviewers could be:
• Legal
• Auditor
• Financial Manager
• Tax
• Department
• Corporate Records Manager
• Corporate Records Committee (major owners of the records)
Additional Resources
Resources that I have used in the past for assistance in creating retention schedules have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
You may also want to check out other resources on retention schedule development that are available through the ARMA bookstore at www.arma.org.
How do you conduct a records inventory?
I was asked this question by a department manager who was considering the development of a records management program for his department.
Ideally, you would hope that the organization would have records management program in place. However, if the organization does not have a program there is nothing that would preclude a department from establishing a records management program to manage their business records. The key to success is management support. The manager should be actively involved in the establishment of the program by being visible and supportive throughout the process. They should be the one that authorizes the program, communicates the purpose of the program, assigns the project manager and remains active in the process to insure cooperation by the staff.
Records Inventory Methodology
A records inventory is the first step in establishing a department records management program. There are two established methods for conducting an inventory:
1. The Questionnaire method: a form is developed, sent to each group within the department and used to collect the information. The department personnel complete the form and return the information to the designated project lead or the;
2. The Physical survey method; the form is developed and an actual physical inventory of the records is completed by a project team member.
Both methods require individuals completing the questionnaire and/or survey. These individuals are trained on how to complete the survey. The records management purist will lean towards the physical survey methodology as it may provide a more accurate survey of the active and inactive records being maintained by the organization. I have personally used both methods and/or a combination of methods. Remember, the inventory should locate, identify and describe all the records within the department at the records series level, regardless of format (electronic, paper, microfilm, CD/DVD, etc.). The record series level is a set of related records that are used and filed as a unit.
Either method will require an in-depth review by the project lead and/or the individual who will eventually create the retention schedule for the department to insure all the information on the record series has been collected. It has been my experience that either survey method will require some follow-up with the department staff to insure complete understanding of the records series.
I have also found it useful to draw a simple flow chart of the records flow when reviewing the forms with the owner of the records. The flow chart provides a visual presentation on the creation, disposition, final ownership of the record series and who receives copies of the document. The flow chart may also assist in providing information that shows the transition from a paper record into a digital format.
Resources
Resources that I have used in the past for assistance in producing an inventory have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA International and SAA, “Sample Forms for Archival & Records Management Programs”, 2nd Edition, 2002, ARMA & SAA. The book also contains a CD with a collection of sample forms for both Archives and Records management in word and PDF format. Well worth the $28.00 for ARMA members or $40.00 for non-members. You can save the formats and modify them to meet your specific needs.
You may also want to check out other resources on retention schedule development hat are available through the ARMA bookstore at www.arma.org.
Remember the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.
(To be continued next month)
Ideally, you would hope that the organization would have records management program in place. However, if the organization does not have a program there is nothing that would preclude a department from establishing a records management program to manage their business records. The key to success is management support. The manager should be actively involved in the establishment of the program by being visible and supportive throughout the process. They should be the one that authorizes the program, communicates the purpose of the program, assigns the project manager and remains active in the process to insure cooperation by the staff.
Records Inventory Methodology
A records inventory is the first step in establishing a department records management program. There are two established methods for conducting an inventory:
1. The Questionnaire method: a form is developed, sent to each group within the department and used to collect the information. The department personnel complete the form and return the information to the designated project lead or the;
2. The Physical survey method; the form is developed and an actual physical inventory of the records is completed by a project team member.
Both methods require individuals completing the questionnaire and/or survey. These individuals are trained on how to complete the survey. The records management purist will lean towards the physical survey methodology as it may provide a more accurate survey of the active and inactive records being maintained by the organization. I have personally used both methods and/or a combination of methods. Remember, the inventory should locate, identify and describe all the records within the department at the records series level, regardless of format (electronic, paper, microfilm, CD/DVD, etc.). The record series level is a set of related records that are used and filed as a unit.
Either method will require an in-depth review by the project lead and/or the individual who will eventually create the retention schedule for the department to insure all the information on the record series has been collected. It has been my experience that either survey method will require some follow-up with the department staff to insure complete understanding of the records series.
I have also found it useful to draw a simple flow chart of the records flow when reviewing the forms with the owner of the records. The flow chart provides a visual presentation on the creation, disposition, final ownership of the record series and who receives copies of the document. The flow chart may also assist in providing information that shows the transition from a paper record into a digital format.
Resources
Resources that I have used in the past for assistance in producing an inventory have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA International and SAA, “Sample Forms for Archival & Records Management Programs”, 2nd Edition, 2002, ARMA & SAA. The book also contains a CD with a collection of sample forms for both Archives and Records management in word and PDF format. Well worth the $28.00 for ARMA members or $40.00 for non-members. You can save the formats and modify them to meet your specific needs.
You may also want to check out other resources on retention schedule development hat are available through the ARMA bookstore at www.arma.org.
Remember the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.
(To be continued next month)
Sunday, March 01, 2009
What Did I Learn at the ARMA Conference in Las Vegas?
This was a follow-up question to my last month’s article titled "Why am I’m going to the ARMA Conference in Las Vegas?” My reasons were: the educational sessions, vendor show, meeting and talking with other professionals in the records and information management field.
This year I prepared an agenda of educational sessions and vendors that were of specific interest to me as a consultant. However, I found that I had misjudged my allocation of time for visiting the vendor show so I limited my sessions to those that were of the most interest to me and that would benefit my clients.
Before the conference I read the excellent article, “Big Buckets for Simplifying Records Retention Schedules” by Susan Cisco, Ph.D., CRM, in ARMA International’s Hottopic , 2008, and I was interested in hearing more on how they managed the actual legal research information in the “Big Buckets” approach. While the subject of the legal research was not covered during the session, I did find the session interesting and confirmed some of my perceptions on the topic. I would highly recommend reading the above article that was included with your ‘Information Management Journal’. In particular, read the pros and cons of the “Big Bucket” approach on page 4 and 5 of the publication, plus the other articles on the subject in the publication by Bruce Miller on “Strategies for Improving Electronic Recordkeeping Performance” and John Montana’s,(JD), “Legal Implications for Using Big Buckets”.
I attended a second session on Big Buckets by Cheryl Smith (NetSmith Inc.) titled “How to Develop a Big-Bucket Retention Schedule”, on their approach in implementing a records program for a federal agency. I found it quite interesting and they provided handouts that made sense. They reduced their overall retention schedule down from 299 records series to three buckets. At the end of the session they mentioned they had some record exceptions left over...I assumed they used little junior buckets? Overall the session was worth my time.
Apparently “Big Bucket” was this year’s buzz word as many of the speakers were mentioning the “new” methodology for managing records in today’s environment. One of the reasons for the need for this new methodology was that the “client” doesn’t understand the old method. I do not agree with that argument.
I did attend an excellent session titled “Web 2.0 and the Records Manager” by Robin Riat (National Archives and Records Administration). She provided a great overview on the subject and outlined some of the disadvantages the organization should consider when using the technology. She provided some great on-line resources that would demonstrate how the technology may be used to the advantage of the corporation or agency. The main point I got from the session was you really need to work with your IT and legal departments to insure an awareness of the consequences of using the technology (what technology?). Your existing document management policy should be updated to include the use and/or the restrictions on use of this technology.
I attended two very good poster sessions (what is a poster session?)held on Tuesday provided some excellent information for someone coming into the profession. They were:
Amy Ellis, El Paso Corporation, poster session on “Developing a Records Management Training Program” provided an excellent roadmap for anyone wanting guidance in the development of a program. It was well worth stopping by and reviewing the posters.
Richard Smith’s, Express Scripts, Inc., poster session on “Six Starting Points for a Records Management Rookie” also was well worth stopping by and viewing. While this program was geared towards someone just entering the field, it provided anyone in our field a quick outline of the objectives and benefits of a document management program.
Remember most of the speakers provided handouts that were on the Conference Handouts disk to conference attendees.
As a records management professional who works as a consultant I need to keep abreast of what is going on in the records and information management field. That is why I spend much of my time attending the vendor show at the conference. Again, this year all the major vendors in the field were in the exhibition hall and provided me with excellent information in their sessions and/or the handouts. The one vendor, Microsoft, was absent, but many of the vendors were touting their product’s ability to connect seamlessly to Microsoft’s Sharepoint. I think the saying “So much to see and so little time” is appropriate in this case. I found that I did not have sufficient time to digest all the information without memory overload. I brought home what seems like a box full of literature and demonstration disks that I can review at my leisure.
I counted 4 sessions that were labeled appropriate for entry-level RIM practitioners. In my opinion none of the sessions taught the basics. I would imagine that many of the attendees were new to the profession. It would seem appropriate to provide a basic track that would include subjects such as inventorying, retention schedule development and classification systems.
I also enjoyed spending time at the ARMA social events, ICRM meeting and reception, and Listserv party where I got a chance to re-new old acquaintances and meet new people. It was a pleasure to again visit with Bill Benedon, one of the fathers of modern records management, who is also a great contributor to the ARMA Listserv.
I was not happy about the LONG walk required to get to the conference sessions from the Hilton Hotel (plus another ¼ mile to my hotel).
But, overall I was very satisfied with the sessions I attended and the information received from the vendors. I am already getting excited about attending the next conference in Orlando, Florida in 2009.
In case you are interested in an explanation of Blogging, Wiki’s and Twitters the following URL with a short video was posted to the RM Listserv by one of the members. Check out: http://www.commoncraft.com/
Past articles on records management can be found on my BLOG site at http://askthecrm.blogspot.com/
This year I prepared an agenda of educational sessions and vendors that were of specific interest to me as a consultant. However, I found that I had misjudged my allocation of time for visiting the vendor show so I limited my sessions to those that were of the most interest to me and that would benefit my clients.
Before the conference I read the excellent article, “Big Buckets for Simplifying Records Retention Schedules” by Susan Cisco, Ph.D., CRM, in ARMA International’s Hottopic , 2008, and I was interested in hearing more on how they managed the actual legal research information in the “Big Buckets” approach. While the subject of the legal research was not covered during the session, I did find the session interesting and confirmed some of my perceptions on the topic. I would highly recommend reading the above article that was included with your ‘Information Management Journal’. In particular, read the pros and cons of the “Big Bucket” approach on page 4 and 5 of the publication, plus the other articles on the subject in the publication by Bruce Miller on “Strategies for Improving Electronic Recordkeeping Performance” and John Montana’s,(JD), “Legal Implications for Using Big Buckets”.
I attended a second session on Big Buckets by Cheryl Smith (NetSmith Inc.) titled “How to Develop a Big-Bucket Retention Schedule”, on their approach in implementing a records program for a federal agency. I found it quite interesting and they provided handouts that made sense. They reduced their overall retention schedule down from 299 records series to three buckets. At the end of the session they mentioned they had some record exceptions left over...I assumed they used little junior buckets? Overall the session was worth my time.
Apparently “Big Bucket” was this year’s buzz word as many of the speakers were mentioning the “new” methodology for managing records in today’s environment. One of the reasons for the need for this new methodology was that the “client” doesn’t understand the old method. I do not agree with that argument.
I did attend an excellent session titled “Web 2.0 and the Records Manager” by Robin Riat (National Archives and Records Administration). She provided a great overview on the subject and outlined some of the disadvantages the organization should consider when using the technology. She provided some great on-line resources that would demonstrate how the technology may be used to the advantage of the corporation or agency. The main point I got from the session was you really need to work with your IT and legal departments to insure an awareness of the consequences of using the technology (what technology?). Your existing document management policy should be updated to include the use and/or the restrictions on use of this technology.
I attended two very good poster sessions (what is a poster session?)held on Tuesday provided some excellent information for someone coming into the profession. They were:
Amy Ellis, El Paso Corporation, poster session on “Developing a Records Management Training Program” provided an excellent roadmap for anyone wanting guidance in the development of a program. It was well worth stopping by and reviewing the posters.
Richard Smith’s, Express Scripts, Inc., poster session on “Six Starting Points for a Records Management Rookie” also was well worth stopping by and viewing. While this program was geared towards someone just entering the field, it provided anyone in our field a quick outline of the objectives and benefits of a document management program.
Remember most of the speakers provided handouts that were on the Conference Handouts disk to conference attendees.
As a records management professional who works as a consultant I need to keep abreast of what is going on in the records and information management field. That is why I spend much of my time attending the vendor show at the conference. Again, this year all the major vendors in the field were in the exhibition hall and provided me with excellent information in their sessions and/or the handouts. The one vendor, Microsoft, was absent, but many of the vendors were touting their product’s ability to connect seamlessly to Microsoft’s Sharepoint. I think the saying “So much to see and so little time” is appropriate in this case. I found that I did not have sufficient time to digest all the information without memory overload. I brought home what seems like a box full of literature and demonstration disks that I can review at my leisure.
I counted 4 sessions that were labeled appropriate for entry-level RIM practitioners. In my opinion none of the sessions taught the basics. I would imagine that many of the attendees were new to the profession. It would seem appropriate to provide a basic track that would include subjects such as inventorying, retention schedule development and classification systems.
I also enjoyed spending time at the ARMA social events, ICRM meeting and reception, and Listserv party where I got a chance to re-new old acquaintances and meet new people. It was a pleasure to again visit with Bill Benedon, one of the fathers of modern records management, who is also a great contributor to the ARMA Listserv.
I was not happy about the LONG walk required to get to the conference sessions from the Hilton Hotel (plus another ¼ mile to my hotel).
But, overall I was very satisfied with the sessions I attended and the information received from the vendors. I am already getting excited about attending the next conference in Orlando, Florida in 2009.
In case you are interested in an explanation of Blogging, Wiki’s and Twitters the following URL with a short video was posted to the RM Listserv by one of the members. Check out: http://www.commoncraft.com/
Past articles on records management can be found on my BLOG site at http://askthecrm.blogspot.com/
What are some steps in implementing a retention schedule?
Question:
Our department has recently reviewed the new retention requirements for our business records. Now that we have a retention schedule what are some of the steps we can take to implement it?
Question was recently asked by an administrator during a review of their department’s filing system.
Response:
While you now have a retention schedule in place, you may need to:
• Secure the support of management and if possible someone with the authority to pave the way with staff members who may not be helpful in your pursuit of implementing the schedule and may be perceive you as destroying their records.
• Always check to insure:
o No legal requirement to retain the records being reviewed for destruction.
o Audits have been completed for financial records.
o If appropriate, performance audits are completed.
• Try to secure a dedicated room to store and review the records prior to destruction so the client doesn’t have clutter in his area. You probably already have the clutter in yours. If you have a collection that is 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 if the vendor charges to use their room.
• Order supplies in advance that you may need prior to the review (replacement boxes, markers, barcodes, labels, scissors, tape, etc).
• Try to identify and locate transfer notices, paper indexes, electronic indexes and an index of holdings at your outside commercial records center. Make copies for your own use in the review process.
• If you have a records management database, create a listing of records that are due for destruction for each client/department. Annotate those records 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 retention for longer period of time I have found a client appreciates your input as the specialist in records retention matters
There are no specific rules on how you implement a retention schedule. However, 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 with records stored in a variety of locations. So the review of records that are currently in storage would be an excellent place to start. Areas where you can start are:
• A storage room that the department maintains.
• An internal records center.
• The company contracted commercial records center.
Here are a few things that I have found to work effectively with any records review:
• If you have a large volume of boxes due for destruction, select the easiest and smallest collection for the initial review.) This allows you time to get your destruction processes tweaked so you can work more efficiently as the review process continues.
• Phase the review of large collection of records. If you cannot get the approval to destroy a large amount of files or boxes, arrange to review them in small doses. You will have a better chance of getting the cooperation of the reviewer if they do not perceive the task as overwhelming. The smaller the amount of records the client has to review the better.
• Try to have the client set aside specific time for review and management of their records. Emphasize time management.
• If the primary reviewer cannot or will not do the review, see if some other person with the authority to approve the destruction would be willing to perform the task.
• Review all boxes in storage to insure they have an appropriate retention period assigned and insure that your indexes and outside commercial vendor’s database reflects the correct retention. Once you have destroyed the backlog of older records, the annual review and destruction program will be much easier.
• 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.
• Take before and after photographs of storage areas and use them successfully in presentations to management to emphasize potential risk to the organizations. Also mention the total number of boxes and/or total volume of documents destroyed, filing cabinets emptied (space saved). If you know the cost per square foot of storage space then list that in your presentation. Businesses/agencies are always looking for cost savings.
• Celebrate when you have completed the records review and destruction of those records that have reached the end of their assigned retention.
Our department has recently reviewed the new retention requirements for our business records. Now that we have a retention schedule what are some of the steps we can take to implement it?
Question was recently asked by an administrator during a review of their department’s filing system.
Response:
While you now have a retention schedule in place, you may need to:
• Secure the support of management and if possible someone with the authority to pave the way with staff members who may not be helpful in your pursuit of implementing the schedule and may be perceive you as destroying their records.
• Always check to insure:
o No legal requirement to retain the records being reviewed for destruction.
o Audits have been completed for financial records.
o If appropriate, performance audits are completed.
• Try to secure a dedicated room to store and review the records prior to destruction so the client doesn’t have clutter in his area. You probably already have the clutter in yours. If you have a collection that is 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 if the vendor charges to use their room.
• Order supplies in advance that you may need prior to the review (replacement boxes, markers, barcodes, labels, scissors, tape, etc).
• Try to identify and locate transfer notices, paper indexes, electronic indexes and an index of holdings at your outside commercial records center. Make copies for your own use in the review process.
• If you have a records management database, create a listing of records that are due for destruction for each client/department. Annotate those records 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 retention for longer period of time I have found a client appreciates your input as the specialist in records retention matters
There are no specific rules on how you implement a retention schedule. However, 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 with records stored in a variety of locations. So the review of records that are currently in storage would be an excellent place to start. Areas where you can start are:
• A storage room that the department maintains.
• An internal records center.
• The company contracted commercial records center.
Here are a few things that I have found to work effectively with any records review:
• If you have a large volume of boxes due for destruction, select the easiest and smallest collection for the initial review.) This allows you time to get your destruction processes tweaked so you can work more efficiently as the review process continues.
• Phase the review of large collection of records. If you cannot get the approval to destroy a large amount of files or boxes, arrange to review them in small doses. You will have a better chance of getting the cooperation of the reviewer if they do not perceive the task as overwhelming. The smaller the amount of records the client has to review the better.
• Try to have the client set aside specific time for review and management of their records. Emphasize time management.
• If the primary reviewer cannot or will not do the review, see if some other person with the authority to approve the destruction would be willing to perform the task.
• Review all boxes in storage to insure they have an appropriate retention period assigned and insure that your indexes and outside commercial vendor’s database reflects the correct retention. Once you have destroyed the backlog of older records, the annual review and destruction program will be much easier.
• 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.
• Take before and after photographs of storage areas and use them successfully in presentations to management to emphasize potential risk to the organizations. Also mention the total number of boxes and/or total volume of documents destroyed, filing cabinets emptied (space saved). If you know the cost per square foot of storage space then list that in your presentation. Businesses/agencies are always looking for cost savings.
• Celebrate when you have completed the records review and destruction of those records that have reached the end of their assigned retention.
How I keep up with changes in Technology
Question: I was recently asked by a client who is an information technology manager how I keep up with all the changes in technology that effect document management.
Response:
This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.
Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.
One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.
I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.
As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.
While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.
Response:
This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.
Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.
One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.
I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.
As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.
While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.
What Benefits are there in being a member of the local ARMA chapter?
This is an excellent question from beginners learning about records management as a profession and ARMA International as an association dedicated to promoting the profession. The text book used by the student in a local college class discusses associations promoting records and information management. For new ARMA members the ARMA International web site provides excellent information on the benefits of ARMA International membership. Unfortunately ARMA does not provide sufficient information in their brochures or website promoting the benefits of belonging to a local chapter.
As a long time member of the local chapter I personally look forward to the monthly meeting of our local chapter. The reason I attend the meeting and programs is quite simple. Where else can you receive a monthly educational program for minimal cost? If your employer does not support the cost of the dinner you may come and sit with the other back benchers and receive an hour of training, free of charge. Since September 2003 my chapter has conducted seven (7) educational programs, six (6) workshops and one half day seminar for it’s membership.
Where else will you get programs and speakers on current records management topics such as “Preservation of Electronic Documents with Historic or Archival Significance”, “The Paperless Patent Application & Tracking System”, “Developing Retention and Disposition Strategies for E-Records”, “The Effect of Recent Privacy Legislation on Public Records Disclosure in Washington State”, “The Evolving Role and Competencies of Records and Information Managers”, “Course 101 – Cleaning up the Mess”, “You’ve got a Lawsuit: Recent Cases of Electronic Records, Instant Messaging and Other Pitfalls of Document Management in the Information Age”, plus workshops on “Instant Messaging”, “How to become a CRM”, “The Morning After: How well did your commercial Records Center Protect your Records”. The programs were presented by members of the chapter or other well known experts in their field.
Where else can you go and meet people working in your profession in an informal setting with the opportunity to discuss common records management challenges?
Where else can you go and talk with knowledgeable vendors in the information management field (equipment and supplies, scanning and microfilm, electronic records, commercial records centers.) without feeling pressured by a sales representative?
Where else can you receive a newsletter that keeps you informed of local events of interest that may directly impact the way you manage your organization’s most valuable asset, information?
Where else can you check out a book on current records management topics? You can avoid purchasing the book and you can keep the book for at least a month. This would be a real benefit for someone new in the profession or an organization with limited funds available to purchase books.
Where else can you go to build your skills and knowledge in the profession that will make you a more valuable employee of your organization?
The local chapters of ARMA provide all of the above services to their members at a nominal annual cost.
Think about it! If we did not have a group of dedicated ARMA members in local chapters, who voluntarily work to promote the profession, we would not have a chapter, educational programs or the other local resources to assist us in becoming knowledgeable in our chosen profession.
I have said in the past and will continue to say it until I retire, that I never leave an ARMA meeting without learning something new.
As a long time member of the local chapter I personally look forward to the monthly meeting of our local chapter. The reason I attend the meeting and programs is quite simple. Where else can you receive a monthly educational program for minimal cost? If your employer does not support the cost of the dinner you may come and sit with the other back benchers and receive an hour of training, free of charge. Since September 2003 my chapter has conducted seven (7) educational programs, six (6) workshops and one half day seminar for it’s membership.
Where else will you get programs and speakers on current records management topics such as “Preservation of Electronic Documents with Historic or Archival Significance”, “The Paperless Patent Application & Tracking System”, “Developing Retention and Disposition Strategies for E-Records”, “The Effect of Recent Privacy Legislation on Public Records Disclosure in Washington State”, “The Evolving Role and Competencies of Records and Information Managers”, “Course 101 – Cleaning up the Mess”, “You’ve got a Lawsuit: Recent Cases of Electronic Records, Instant Messaging and Other Pitfalls of Document Management in the Information Age”, plus workshops on “Instant Messaging”, “How to become a CRM”, “The Morning After: How well did your commercial Records Center Protect your Records”. The programs were presented by members of the chapter or other well known experts in their field.
Where else can you go and meet people working in your profession in an informal setting with the opportunity to discuss common records management challenges?
Where else can you go and talk with knowledgeable vendors in the information management field (equipment and supplies, scanning and microfilm, electronic records, commercial records centers.) without feeling pressured by a sales representative?
Where else can you receive a newsletter that keeps you informed of local events of interest that may directly impact the way you manage your organization’s most valuable asset, information?
Where else can you check out a book on current records management topics? You can avoid purchasing the book and you can keep the book for at least a month. This would be a real benefit for someone new in the profession or an organization with limited funds available to purchase books.
Where else can you go to build your skills and knowledge in the profession that will make you a more valuable employee of your organization?
The local chapters of ARMA provide all of the above services to their members at a nominal annual cost.
Think about it! If we did not have a group of dedicated ARMA members in local chapters, who voluntarily work to promote the profession, we would not have a chapter, educational programs or the other local resources to assist us in becoming knowledgeable in our chosen profession.
I have said in the past and will continue to say it until I retire, that I never leave an ARMA meeting without learning something new.
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