Developing a Indexing System

Question:

I would like to develop an indexing system to use as a finding aid for retrieval of my department records. Do you have any suggestions?

Submitted by: a Client

Response:

This is not an uncommon question from personnel working in small to medium-sized organizations, and in particular within organizations without a formal records management program.

I also remember that this question was asked by students in the File and Database Management class that I taught at a local community college.

One of the first things you need to ask yourself is; “Do I need an index?”. The answer is; “depending on the complexity and/or the type of the records system you have developed”. Some collections may be accessed without the use of an index. A “direct access system” allows one to go directly to the files without the need of an index. Geographical and client records filed in alphabetical order are an example of a “direct access system”. An “indirect filing system” or alpha-numeric system is based on a special code. In either case, an index of some sort may be necessary locate and retrieve files. Photograph files and engineering drawing systems are examples of records that may require an index.

Over the years, I have seen a wide variety of indexing schemes using Microsoft Word, Excel, Access and formal records management programs developed by commercial firms to manage corporate records. Each (Word, Excel, Access and their counterparts in Lotus SmartSuite – Lotus 1-2-3, Word Pro, Approach) may be utilized to develop an indexing scheme. It all depends on what you expect of the index; i.e., the amount and/or complexity of detail required and the retrieval needs of the users of the records.

Let’s consider an example: you may easily develop a table in Microsoft Word that has a file code or numbering scheme, titles, authors and dates. You may use the Edit/Find button to locate records within the search parameter. Microsoft Word could be a simple solution for a small collection.

Microsoft Excel may also be used quite effectively in managing collections of files. It also has some other attributes for indexing, sorting, data entry input and printing of indexes that are lacking in Microsoft Word.

For organizations that have a need for a more complex system or multiple systems to manage their records and cannot obtain funding to purchase a full-fledged document management system I recommend evaluating Microsoft Access. In a perfect world, in my opinion, the organization would be using Microsoft Office as their company standard. If Microsoft Office is the standard and the agreement includes Microsoft Access as part of the software package, you may have hit a mini jackpot. The big jackpot; the Information Services Department also has technical staff with experience working with Access and can support your requirements!

If Information Services staff cannot support you by assisting in the development of a filing system, but is willing to administer the software (maintenance, upgrades, backups, etc., the technical stuff, but you still want to pursue the development of a system, ask the following questions:
1. Do I have the computer skills to proceed with this project?
2. Do I have the time to develop a system?
If the answer is yes to both questions, you are on your way to starting the development of a system.

If the answer to question #1 above was “no”, do you have the time and patience to learn? If yes, proceed. If not, you might want to back off and try using Word or Excel.

If the answer to question #2 above was “no”, could you take the time to develop an indexing system? If not, you might also want to back off and try using Word or Excel.

If you still want to proceed but feel your computer skills may be lacking you might consider attending a course on Microsoft Access at your local college or purchase a textbook on Access at almost any bookstore to improve your skills.

I purchased a copy of a textbook titled “Microsoft Access 2000: Illustrated Series” by Lisa Friedrichsen (is this spelled right?), published by Course Technology, Thomson Learning, which is a Illustrated Introductory course in Microsoft Access. If you are able to complete the first seven chapters of this textbook, you should understand the basics of Access and develop a database.

I also purchased “Microsoft Access 2002; Fast and Easy”, published by Prima Publishing, 2001, at a local bookstore. Although the textbook is for Access 2000, the basics are still the same and I use it this book extensively when I run into a problem.

In my next article, I will discuss the database design and data fields selected for a generic database (to create an indexing system) .

Part II

In the previous article, we reviewed some requirements that would be needed to develop a simple indexing system using Microsoft Access. The basic requirements are: (1) computer skills and (2) time to develop a system. In Part II, we will discuss designing a simple database that may be used to manage a collection of records, on-site and off-site.

Again, I highly recommend purchasing document management software if at all possible in lieu of developing one in-house. A professionally designed document management system is a very complex program, developed by experts in developing software who are employed by companies that are in the business of providing this type of service.

The first and most important goal in developing a database/finding aid is identifying the pieces of information you want to capture. It cannot be over-emphasized how critical this phase of the project can be to the successful implementation and use of the database. You need to consider the following:
 What is the purpose of the database?
 Determine the types of reports you want to produce.
 Write out the field names and what data type the record will be (date, text, currency, number, memo, etc.,). Play particular attention and place the fields in a logical flow for data entry. Example: If your entering information from a form, you want to data entry in the same flow as the form entries.

Remember! Keep it simple and easy to enter data enter and manage the database. Do not be tempted to add additional of fields in your table just in case.

The database we will develop will be a simple table in Microsoft Access that will allow the user to develop the basic information to:

 Produce reports (listings) of records in the database (by department, function, file code)
 Print file folder labels (some restrictions on this ability)
 Produce destruction notices.
 Produce transfer notices for off-site storage facilities or your state archives by modifying or adding fields to the database
 Searches by keyword

Here’s an example of a table in Access design mode with the following fields and data types.
Field Name Data Type Description
Rcd_Id AutoNumber
Rcd_FileCode Text Alpha/Numeric Field
Rcd_Title1 Text
Rcd_Title2 Text
Rcd_Title3 Text
Rcd_DateorSeqFr Date/Time Beginning Date/Sequence Range *
Rcd_DateorSeqTo Date/Time Ending Date/Sequence Range *
Rcd_Memo Memo Memo Field for expanded information
Rcd_Atch Ole Object Provide capability to attached pictures, documents, spreadsheets, etc.,
Rcd_Dept Text Department/Function Owner
Rcd_SysDt Date/Time Date entered into the system. Used for quality control and label creation.
Rcd_Status Text Records Status (Active, Inactive, Transferred, State Archives, etc.,
Rcd_TransDt Date/Time Date transferred to another location (Archives, Storage, etc.,)
Rcd_TransBC-Box Text Barcode Number or Box Number
Rcd_RevDt Date/Time Records Review Date of Inactive Records
Rcd_DestDt Date/Time Date Record Destroyed

* You may want to create a separate field for each field, i.e, one for dates and one for sequence ranges.

Again, I am assuming that you have a basic idea of the definition of a field and data type. Simply stated they are: (1) Field Name: The name assigned to each field in a table, and (2) Data Type: the type of information that will be entered into the field.

If you have completed the table, exit and save the table, then open the table and try entering data into the table to see if you have the needed fields to effectively manage your records. Experiment with some of the capabilities of Microsoft Access and create forms, reports, queries using the Wizard function.

You can also duplicate (copy/paste) and change the field names from Rcd_*** to Box_*** to manage boxes stored in the off-site and on-site storage facilities. . . If you noticed, I start the field name with a specific identifier (Rec_*) to denote the table I am working with, for example; Rec_Status could be changed to Box_Status. At a later time you can learn to create a query to join the two tables to provide information for reports, etc.

Following the guides of the books suggested in the previous article, you should be able to design a simple database as your document management system and provide you with a finding aid for search and retrieval of your business records.

Part III

In the previous articles, we reviewed some of the requirements needed to develop a simple indexing system and created a table in Access design mode with the fields and data types to manage a collection of records, on-site and off-site using Microsoft Access.

Again, I highly recommend purchasing document management software if at all possible in lieu of developing one in-house. A professionally designed document management system is a very complex program, developed by experts in developing software who are employed by companies that are in the business of providing this type of service.

In this article, we will show an example of simple data entry form and reports that utilized the query programs in Microsoft Access. If you are not a familiar with Microsoft Access, recommend you use purchase the books suggested in the previous article. They should provide you with the tools necessary to develop the examples below and other more complex queries, forms and reports.

The example below is a data entry form developed to manage stored boxes. It has three additional icons at the bottom for specific functions to enhance the usability of the form. The first icon at the bottom left of the form is a duplication icon that allows the user to add a record, duplicate it, and only change entries that are different. The second icon to the right of the duplication icon is for search, and the STOP icon is used to exit the form.


Example 1
It contains the same data as used by the client’s commercial vendor for transfer of boxes to their storage facility. You are probably asking your self, why not use the vendors form? There is a simple answer. I hate to have to re-key anything. Once you have entered the box data into your system, you can use the information to create and print the information in a format acceptable to the vendor.

Using Microsoft Access query wizard the user should be able extract specific data that will provide the information necessary for creation of reports for management of the box collection. Some examples are:
 Extract and print the box database in barcode number (shelf location) or alpha order.
 Extract and print the box database information by Department or File Code.
 Extract and print reports for annual reviews for destruction.
 Create search and print queries for different type of records within the database for clients.
 Extract and print annual projection of storage usage based on current box storage requirements.
 Charts can be designed from the data in Access or exported to Microsoft Excel.
 All reports can be exported to Microsoft Word and/or the Microsoft Word merge program.
 Creation of Certificates of Destruction for boxes destroyed.
 Advanced user can design macros to send reports via e-mail.

The number of reports that can be designed and published is limited to the imagination and experience of the system user.

Part III.

Response:

In the previous articles, we reviewed some of the requirements needed to develop a simple indexing system and created a table in Access design mode with the fields and data types to manage a collection of records, on-site and off-site using Microsoft Access.

Again, I highly recommend purchasing document management software if at all possible in lieu of developing one in-house. A professionally designed document management system is a very complex program, developed by experts in developing software who are employed by companies that are in the business of providing this type of service.

In this article, we will show an example of simple data entry form and reports that utilized the query programs in Microsoft Access. If you are not a familiar with Microsoft Access, recommend you use purchase the books suggested in the previous article. They should provide you with the tools necessary to develop the examples below and other more complex queries, forms and reports.

The example below is a data entry form developed to manage stored boxes. It has three additional icons at the bottom for specific functions to enhance the usability of the form. The first icon at the bottom left of the form is a duplication icon, that allows the user to add a record, duplicate it, and only change entries that are different. The second icon to the right of the duplication icon is for search, and the STOP icon is used to exit the form.


Example 1
It contains the same data as used by the client’s commercial vendor for transfer of boxes to their storage facility. You are probably asking your self, why not use the vendors form? There is a simple answer. I hate to have to re-key anything. Once you have entered the box data into your system, you can use the information to create and print the information in a format acceptable to the vendor.

Using Microsoft Access query wizard the user should be able extract specific data that will provide the information necessary for creation of reports for management of the box collection. Some examples are:
 Extract and print the box database in barcode number (shelf location) or alpha order.
 Extract and print the box database information by Department or File Code.
 Extract and print reports for annual reviews for destruction.
 Create search and print queries for different type of records within the database for clients.
 Extract and print annual projection of storage usage based on current box storage requirements.
 Charts can be designed from the data in Access or exported to Microsoft Excel.
 All reports can be exported to Microsoft Word and/or the Microsoft Word merge program.
 Creation of Certificates of Destruction for boxes destroyed.
 Advanced user can design macros to send reports via e-mail.

The number of reports that can be designed and published is limited to the imagination and experience of the system user.

Are you using CDs and DVDs as a long term storage medium?

During a recent presentation I was asked again on the use of CD/DVDs for long term storage of business records. In this article I will discuss three areas that may assist you in determining the viability of using the medium for either short or long periods.
• Type of CD/DVDs
• Optimum Conditions
• Migration

Type of CD/DVDs

Compact Disks (CDs) are optical media. While guidelines from different articles on the subject state the medium can be used for long term storage, I recommend reviewing an excellent article by Fred R. Byers on the “Care and Handling of CDs and DVDs, A Guide for Librarians and Archivists”, Oct 2003 (www.clir.org/pubs/reports/pub121/pub121.pdf ).

Not all CDs are equal or of archival quality. You should also check the archival quality of the media sold by the manufacturer. A Dutch PC-Active magazine did an extensive CD-R quality test on the different CD-R brands and found that some had become completely unreadable in less than 20 months.
Cut and Paste: http://www.cdfreaks.com/news/CD-Recordable-discs-unreadable-in-less-than-two-years.html.

Optimum Conditions

As reflected in the article by Fred R. Byers, the optimum recommendations for long term storage conditions for CD/DVD media is a temperature of 39 degrees F (4 degrees C) to 68°F (20°C) with relative humidity (RH) of 20% to 50% RH.

Unless you have a climatically controlled environment I doubt many of us meet the minimum standard for storing CDs. So if you don’t have a controlled environment, you must review your collections periodically to insure the media can be read.

Migration

As a consultant I have observed that many organizations depend on CD/DVDs as a storage medium. If you are investing in a system to manage your electronic records in CD/DVD format, then you must consider the need to insure the availability of the information in the future. The following points cannot be over- emphasized:

• You must have a policy/procedure to insure the collection is migrated from older to newer technology in a timely fashion when newer technologies make your current system obsolete.
• If you are retaining your records on CD/DVDs for more than 8 years you should have a process to insure the collection is migrated before the medium deteriorates which could be within only 18 months (see first two points).

Depending on the amount of records being maintained the migration could become an expensive and time consuming proposition. On the bright side the retention period for the majority of business records normally does not have a long term retention requirement.

After you have considered the points mentioned above, and you are still convinced that you want to retain your records in a CD format, then you must consider the benefits you will derive from converting or retaining the documents to CDs. Look at cost of retaining in electronic format as follows:
• Are the records (1) in electronic format; or (2) in paper format?
• Can we destroy the paper copies when transferred to electronic format?

If the records are already in an electronic format your expense to move the documents to CD should be minimal. However, if you are considering scanning the paper to electronic format your cost may greatly exceed the benefits. You need to closely review each project on its own merits. If you still have the requirement to maintain the paper documents then you must again closely review the cost benefit.

I still advocate using CD’s where appropriate, but I am mindful of the problems and costs that may occur in the long term.

Personnel File Retention

Retention period for Personnel File of Terminated Employees
Survey Results
NR of Years % Responses


3 years 4.7% - 2
4 years 7.0% - 3
5 years 7.0% - 3
6 years 9.3% - 4
6 years (current year plus 6) 18.6% - 8
7 years 18.6% - 8
10 years 11.6% - 5
20 years 2.3% - 1
Permanent 20.9% - 9

20 people answered other retention as follows:

1. Termination date + 3 years
2. 40 years
3. 70
4. termination + 4
5. 240 months 20 years if they have medical files in them.
6. 6 yrs from the last taxation year in which pension commences
7. We keep personnel file for Term. + 5 yrs but our Employment Verification cards
are kept Term. + 75 years and are microfilmed.
8. 75 years after termination.
9. Still developing a division of file contents, currently dumped all together
10. Employee termination plus fifty years
11. T+8
12. Medical file 30 years
13. 75 yrs beyond separation
14. 25 fiscal years after termination
15. 6 years personnel, 60 years retirement related information
16. more if enrolled in a benefit plan Tue
17. 2 years after the employee terminates or transfers
18. Personnel files - 5 yrs, employment history cards- 25 years Mon
19. T + 7 Years
20. Retention depends on content, tax 4, job descriptions permanent


12 Skipped question
………………..


1. Public Service Commission of Wisconsin Retention Schedule 27(a)
2. It's a retention schedule approved under the Archives and Records Management
Law - Title 5, sub-sec. 95, Maine Revised Statutes Annotated
3. 29CFR516.5, 29CFR516.6, 29CFR1602-14, 29CFR1620.32, 41CFR60-1.12, KSA44-1209,
OAC 240:10, MN Chapter, OH Title XLI-4111.08, CA Division 2-part 4-Chapter
1-1174(d), 41CFR60-741-52, 41CFR60-741-80, I did not write these
4. Retention was a business decision, not a legal one.
5. Based on Canadian inc. tax act plus exp. in pension calculation risk
6. No - but is based on the standards recommended by our state authority on
Records - Texas State Library and Archives Comm. 7.N1-434-89-1, item 1 -
(DOE Administrative Records Schedule
8. Tax codes
9. 29USC626; 29CFR1627.3; ADEA; 29CFR1602.31; Title VII of Civil Rights Act of
1964; ADA; M.S. 13.43, subd 2
10. Florida Statute
11. no
12. Ohio Revise Code and (6 yrs) Ohio Case Law (7yrs) Otherwise we'd be down to 5
yrs in the US. This is for clean personnel files, not medical records, not DB
paperwork, not benefits, not payroll.
13. HAR 12-20-8
14. 29CFR1602
15. US:29 CFR 1627.3
16. DOE Admin Schedule 1, N1-434-98-4 Items1/1.1
17. None
18. 29 CFR 1620.32, US: 29 CFR 1627.3, 26 CFR 31.6001-1, 29 CFR 1602.14
19. State of FL General Schedule 1-SL, Item #19
20. To many to list- doesn't want to let me paste
21. 29 CFR 1602.14, 29 CFR 1627.3
22. yes Federal: 26 CFR 31.6001-1; 29 CFR 516.5; 29 CFR 825.500; 29 CFR 1602.14;
29 USCS 1059; California: 8 CCR 11040; 22 CCR 1085-2; Cal
23. no specific citation - based on statute of limitations and business needs
24. 29 C.F.R. 1602.14, 1627.3.
25. GC34090
26. Wyoming Statutes 9-2-410
27. GS50-04B-06, GS50-03E-15 WA ST Schedule
28. statute of limitations
29. Statute of limitation
30. too many to list - 29CFR4007.10
31. No - Company decision due to litigation.
32. no, but this is the choice of my law firm. Minimum retention is 10 years.
33. We use 29CFR1602.14: One year from term or final disposition of matter involving
a charge of discrimination. We use a six year retention period to ensure all
discrimination cases have been cleared upon final disposition.
34. general statute of contract limitations - Skupsky-based
35. Statute of Limitations
36. SOE Approved Records Schedule
37. Business need, set by state
38. Attorney directed-Legislation 2006 Mon
39. 29 C.F.R. §§ 1602, 1627, 1630; EEOC ADA Technical Assistance Manual section
6.5: 15 U.S.C. § 1681b(b)(2)(A)(ii); 16 C.F.R. §§ 682.1 - 682.5
40. ADEA, Illinois Minimum Wage law
41. Business decision 

Industry

29. Aerospace/defense
4. Aircraft Manufacturing
32. Chemical
17. computer
7. Consulting (this is taken from a prev. role as MRO in BC Canada)
18. Consumer Goods/Manufacturing.
49. Contractor Research and Development
25. Contractor to Federal Agency (DOE)
11. Department of Energy - National Nuclear Security
16. Document managment service bureau
3. Education
13. Education
40. education
6. financial
31. Financial
5. Financial, however, retention came from our automotive manufacturing brand
partner
2. government
26. Government
50. Govt. Utilities
45. Health care
24. Health Insurance
30. Healthcare
51. Hi Tech
23. Higher Education
39. Higher Education
52. Higher Education
9. Human Resource Consulting
35. Insurance
12. Law firm
44. Legal
46. Legal
19. Local Government
33. Local Government
36. local government / municipality
38. Local Government, Washington State
8. Manufacturing
22. Manufacturing
41. Manufacturing/Paint and Coatings
15. Municipal Government
53. Non-profit
20. Other
43. Petroleum
28. Public education
34. restaurant
27. Retail
21. Service
10. State Government
37. State Government
14. state governmental agency
54. Telecom / High Tech

1. Utilities
42. Utilities
48. Utilities
47. Utilities/conglomerate

Are we required to retain all email, and if so, how do we do it?

This an excellent question that has been discussed in detail on the records management list serve, professional associations, and the information management technology sector based on the new federal rules on discovery that was implemented in December of 2006.

Now I am neither a lawyer nor in the information technology (IT) area, but simply a records management practitioner who has thoughts on the requirement as follows:

It is my understanding that the management of business records is guided by legal consideration, i.e., a legal citation approved by competent authority (federal, state, etc.). I am only aware of but one legal requirement for the retention of email and that is for a specific group of individuals governed by the SEC. Therefore I must assume there is no other legal precedent for the retention of email messages unless it meets the criteria of being a business record and/or public record, then it must be retained.

The more complex issue is the methodology of managing the email message that is deemed a business record and must be maintained. There is much vendor hype extolling their software that will provide the means to ensure long term requirements and retrieval of email that maybe required in case of litigation. To be sure I am convinced that they have developed a product that will manage the email. But I am also convinced that there are two major factors that will cause a breakdown and ultimate failure of the overall goal of managing email. Factors are:

a. The Human Factor. To apply the appropriate retention to each message will require someone to apply it as the current technology to automate the process does not appear to be 100 percent accurate. If we are believe the individual receiving the message, i.e., say a upper level manager, CEO, etc., will apply retention to every email they receive I do not hesitate to say if you believe it I have some property in Florida that I will be happy to sell you, just bring high waterproof boots.

b. The Technology Factor. While you may be able to manage retain all email for a specific period of time by simply retaining copies of all email coming and going out of the organization the advancement of technology has created an environment that manages to thwart control of information within an organization. Much of which is beyond the control of the IT function. Email is being sent and retained Blackberries, IPAQ’s, TREO’s, personal computers, personal email accounts (hotmail, Gmail, etc.), flash drives and cell phones that makes control difficult, if not impossible.

I happen to conduct business in a state that has a very progressive and what I consider providing excellent guidance and training to state and local government agencies. I have quoted below their description of “Electronic Mail” that provides a legal framework for local government agencies and although not a legal authority as least some guidance to those working in the private sector.

Quote: “Electronic mail (E-mail): E-mail is primarily a communication system. Individual E-mail messages may be public records with legally mandated retention requirements, or may be information with no retention value. E-mail messages are public records when they are created or received in the transaction of public business and retained as evidence of official policies, actions, decisions, or transactions. Such messages must be identified, filed, and retained just like records in other format."

Currently few E-mail systems are designed to categorize and retain information. E-mail messages with public record content should be retained in E-mail format only as long as they are being worked on or distributed. Upon completion, E-mail messages containing public record information should be printed out or transferred to an electronic document management system, filed with the appropriate records series, and retained for the minimum retention period assigned by the Local Government General Records Retention Schedule or a records retention schedule approved specifically for the agency by the Local Records Committee”. Unquote. Citation: Line 314, Local Government General Records Retention Schedule for the State of Washington.

While the solution of printing out the business documents may be distasteful to some it is probably the only solution for the majority of local government agencies and the private sector that does not have or cannot afford the luxury of an electronic document management system. You might wish to research what guidance your state has to offer on the subject of retention of “Electronic Email”.

The management of email is a difficult issue that requires the organization (public or private) to provide the proper guidance and ongoing training to their employees on their responsibilities for the management of their email within the organization.

Why shouldn’t you use CDs as a long term storage medium?

Why shouldn’t you use CDs as a long term storage medium?

Response:

This was a question that was asked by two of my clients over the summer. It reminded me of two articles I wrote in 2004 outlining some of my reservations on using cds for long term data storage and also a recent article; ‘Do Burned CDs have a Short Life Span?’ by John Blau in ‘PC World’, January 10, 2006 issue.

I personally use CDs as a backup media, and I burn CDs for my clients on projects that I have completed. They are backups only as my clients also retain a full set of the paper documents for the project. I do not consider anything I do as having long term retention value for my personal collection and I do not make backups of client records that have a long term retention requirement. But, if I did, two of many things that I consider are:

Media Type:

Compact Disks (CDs) are optical media. Guidelines from different articles PUBLISHED on the subject state THAT CD-R or CD-R/W MAY be used for long term storage with A life expectancy of CD-R between 100 to 200 years under optimum conditions AND CD-R/W should have a life expectancy of 25 years or more under optimum conditions. I recommend reviewing an excellent article by Fred R. Byers on the “Care and Handling of CDs and DVDs, A Guide for Librarians and Archivists”, published by the Council of Library and Information Resources and the National Institute of Standards and Technology, October 2003 www.clir.org/pubs/reports/pub121/pub121.pdf ).

Not all CDs are equal or of archival quality. You should also check the archival quality of the media sold by the manufacturer. A Dutch PC-Active magazine did an extensive CD-R quality test on the different CD-R brands and found that some had become completely unreadable (http://www.cdfreaks.com/news/7751 ) within 3 to 7 years.

In a discussion on the subject of standards on the records management listserv one person wrote that “the only standard that may pertain is “ANSI/NAPM IT9.21-199 Life Expectancy of Compact Discs (CD-ROM) – Method for Estimating, based on effect of temperature and relative humidity. I know I do not meet this standard. Do you? Does your vendor? If not, you have one of many problems with storing the information on a CD.

Migration:

Besides the longevity issue another important aspect of maintaining business information on CDs/DVDs is the long term problem with migration. Over the summer I have discussed migration with two individuals who are maintaining and/or contemplating maintaining their business records on optical disks. I asked the question; “How are you planning to manage the migration issue?”. One of the individuals was not aware of the longevity issue, while the other individual was aware and had a migration plan in place to migrate data every 7 years. Neither individual was aware of the article I mentioned above by John Blau, stating that; “Unlike pressed original CDs, burned CDs have a relatively short life span of between two to five years, depending on the quality of the CD”. He further stated “There are a few things you can do to extend the life of a burned CD, like keeping the disc in a cool, dark space, but not a lot more”. If you are working in the public sector I would recommend checking with your State Records Management Department for guidance.

You might also check out the National Archives and Records Administration’s website on optical media at http://www.archives.gov/records_management/index.html, then:
Click Records Management Frequently Asked Questions
Click FAQs About Optical Media

I also recommend that you add this website to your Favorites and save for future reference.

I still advocate using CD’s where appropriate, but I am mindful of the problems and costs that you may incur in the long term. If you are considering a scanning project from paper into an electronic format you need to closely review the project to insure that the cost does not exceed the benefits.

Enjoy….BobDalton, CRM of Dalton Consulting

Note: My thanks to Barbara Werelius, Records Manager and public records guru at Tacoma Public Utilities, for her assistance in the development of this article.

Just Starting Out in the Field of Records Management?

A couple of years ago I wrote an article about my recommendations for someone entering the field of records management. I think it is time to revise my recommendations as the profession has changed and there are additional books available that may provide a wealth of information for some just starting out.

If the person asking this question is an ARMA chapter member I direct them to our chapter’s resource library. Our chapter budgets funds to purchase a select number of books each year to add to our library collection. Some of my recommendations include, but are not limited to:

Organize Your Office: A Small Business Survival Guide to Managing Records, Author: Teri Mark, CRM. This is a new book that I picked up at a recent Conference and it would be a good starter book for someone working in the private sector. While it states the book is a survival guide for small business owners with fewer than 20 employees, home-based businesses, and the self-employed; the principles and information provided on organizing business records may be applied to both public and private sectors. It is easy reading and written in non-technical terms.
Sample Forms for Archival and Records Management Programs, Author: ARMA International and Society of American Archivists. For those in public or private sector, this is a great resource that provides some good sample forms and polices that MAY be used and/or customized to meet your requirements. The book comes with camera-ready originals that can be photocopied and a CD with the forms in both Microsoft Word and PDF formats. Some of the information in the book includes:
 Inventorying and Scheduling: Records Inventory, Records Retention ScheduleS, Records Retention Authorization
 Records Centers/Records Control: Records Transfer, Transmittal, Request, and Authorization
 Records Destruction/Disposition
I personally thought the two books by Randolph A. Khan, Esq., and Barclay T. Blair, Information Nation: Seven Keys to Information Management Compliance, 2004 and Information Nation Warrior: Information Management Boot Camp, 2005. Both were worth reading and provided good tips and advice.
The books referenced above represent some of many excellent books on records management that can be purchased from the ARMA bookstore (http://www.arma.org/bookstore/index.cfm).
Another good book that I know is being used at one of the local colleges as a textbook is Information and Image Management, 3rd Edition, 1992, by Ricks, Swafford and Gow. Although the book is dated, the information is still relevant. I note that the book is not available through the ARMA bookstore, but I’m sure you can purchase IT from some Internet store (i.e., Amazon).
Check out your chapter library to see if these books are part of your chapter resources. Our chapter has each of the above books as part of our library collection. I consider the library an excellent resource for our members. Since I order the books for our chapter I get to review each new accession to see if I want to include it in my personal records management library.
Another excellent resource for anyone who is remotely involved in establishing a records management program in their organization is the annual ARMA International conference. I highly recommend attending the ARMA Conference as the programs are excellent. If you are unable to attend the association programs, then attend the vendor show that has about every major RIM provider showing their latest and greatest system.
Finally, take advantage of the local resources of your ARMA chapter by networking at your monthly meetings. Your fellow ARMA members have a wealth of knowledge and resources and are willing to assist and share their information.

Bob Dalton, CRM of Dalton Consulting

Note: My thanks to Barbara Werelius, Records Manager and Guru at Tacoma Public Utilities for her assistance in the development of this article and also the Puget Sound Chapter of ARMA.

What are some of the benefits of being a member of ARMA?

Question:

Answer:

I was asked this question by a potential member who is considering joining the association. It is a great question and one I enjoy talking about with anyone within shouting distance. The main benefits gained from membership are: the resources available from the headquarters of the association, networking with peers and the training opportunities that are available through membership in your local chapter of ARMA.

I find that these three resources are provided by the association that help keep me informed on issues and/or topics that assist me in providing better services to my clients. The resources are:
The Annual ARMA International conference provides opportunities from conference educational sessions to visiting the major vendors in the field of records and information management. I particularly enjoy sessions that are oriented towards lessons learned and/or advances IN information management systems. I look forward to attending the conference as it also provides me time to get re-acquainted with friends and meet new people in the association. And as an added plus, it allows me to visit different parts of the country that I have not visited before. I’m looking forward to the next conference in San Antonio, Texas and plan to take a few extra days to see the sites, especially the Alamo, and visit with friends. Check out the conference website: www.arma.org/conference/2006/index.cfm
I’m also thoroughly enjoying the ARMA headquarters web seminars that provide additional training opportunities for not only the beginner, but also more experienced RIM professionals. While I may not always agree with the presenter, it does provide me with different views on the subject and makes me reconsider by perception of the subject. ARMA also retains the seminars in their archives in case you missed the original session plus the question and answer session. Check out the web site for more information at: www.arma.org/learningcenter/webseminars/index.cfm
I also review the offering at the ARMA bookstore (www.arma.org/bookstore/index.cfm) to see what is new. I pass this information along to my clients if they are interested in developing their programs.

I also belong to the Records Management Listserv. While I do not always agree with the person sending the message, I find it stimulating and it really makes me think about some of the topics being presented. It certainly is not a place for the complacent or the one who prefers to follow the “tunnel vision method” of record and information management. I believe the group has over 1500 members from around the world so you get a good view of records management from other perspectives. However, you also sometime get bogged down with the volume of messages, but you may remedy that by taking the digest method of receiving the information. One of the major benefits of the listserv are the weekly records and information management news articles with the internet URLs provided by Peter Kurilecz. The articles really reflect what is going on in the profession, the problems, and new governmental initiatives. To join this listserv send an email message to LISTSERV@LISTS.UFL.EDU and leave the subject line blank (empty). You will get a message back acknowledging your message with additional information on how to manage the program. Another benefit of this listserv is they have a great get together at annual ARMA conference. It is a great chance to meet and put a face to the person sending emails to the listserv and to renew old acquaintances.

At the local chapter I find the programs being provided more than make the chapter dues worthwhile. Our chapter, for example, will have 10 meetings during the ARMA year, (9 evening programs and 2 workshops that cover records and information management training for both the public and private sector members). In addition, the chapter held a seminar in conjunction with our evening program. The chapter meeting provides an excellent opportunity to converse with other in your profession on subjects of personal interest. We also provide a quality newsletter for our membership that has articles of interest to the professional and a website that keeps the membership informed of upcoming events. Visit the website at: www.pugetsoundarma.org

As a chapter we also cooperate closely with two other chapters in the local area for the benefit of our members. We hold joint seminars and maintain a job blog on records and information management positions open in the local area at: http://armajobsnw.blogspot.com/

I want to emphasize that membership in this association has not only helped me increase my knowledge in the field, but has provided me the opportunity to meet and make friends with other professionals who are more than generous in their willingness to assist others in their quest for knowledge in this field of endeavor. This sharing of knowledge and experience is invaluable and well worth the price of admission to a membership in ARMA.

BobDalton, CRM of Dalton Consulting

How do you handle duplicate documents/copies discovered during the inventory process

Answer:

This was a question that was asked by a client during a discussion on the management of their records. A great question, and one that that I imagine has plagued the records management professional since the beginning of time. As a consultant I certainly do not have a definitive answer to the problem. However, I do have some insight and suggestions that will probably have people wondering if I have perfected the art of “compromise” or perfected the art of “giving up”.

This is not an easy question to answer as much depends on how the organization manages their records. Here are a few examples of engineering records that I have over the course of years in many organizations I have worked with.

. One organization sent a copy of their purchase orders to accounts payable and retained the
original.

My recommendation to the organization was to send the original document to accounting and retain a copy for internal use. While the accounting director agreed that this would be best business practice, they had not experienced a problem or write up by the State Auditor.

. Drawings maintained at multiple areas within the organization. Which was current?

I believe I have run across this problem at every organization that I had the opportunity to work with as a consultant or as an employee. While the original “as built” drawings were being maintained properly, the maintenance personnel on-site were making changes (redlines) on their copy of the drawings but those changes were not being transferred to original drawings. Staff using those originals would be unaware of those changes.

Ideally, all revisions would be accomplished by creating a new document that reflects the current information and copies then sent to the locations. If this updating was not done and/or they did not have a formal engineering function I had two recommendations to insure that the most current document was available to the organization:

1. Establish a written process and procedure for the management of changes to the engineering drawings. This option relies on the cooperation of the people who are making the changes to insure that all locations are aware of the change to the drawing.

2. If your drawing collection is indexed in an electronic document management system try to indicate the locations that have the drawings.

I currently use Microsoft™ Access for indexing, but it could easily be accomplished in Microsoft™ Excel or Word.

Again, this option also relies on the cooperation of the people making the changes to communicate with the person responsible for managing the drawings.

. Duplicate copies of bid, contract and other engineering project documentation:

There are many times when documents are maintained within the organization for different reasons and copies of the same document may have different retention periods. Also the person responsible for keeping the documents may differ within various organizations. For example; bid and contract documentation may be the responsibility of the purchasing department or law department and disposed of as established by the organizations’ retention program. However, both documents may be considered as part of the engineering project documentation and maybe retained for the life or sale of the property. In this case, the bid and contract documents retained by the purchasing and legal departments may be destroyed earlier as established by the organization retention policy. This is where you must work closely with your attorney and accounting when you assign a retention period to the documents.

When working with clients it is always a game of compromise to hopefully get their cooperation and establish the processes and procedures to manage the records in the long term.

BobDalton, CRM of Dalton Consulting

Why do you still remain active in ARMA

Question:

Why do you still remain active in ARMA?

Response:

This question was recently asked by my son during a conversation on retirement. For those of you, who do not know me I have already retired twice, but continue to work as a way to keep my mind active, plus develop my skills and knowledge which in turn provides value to my clients in a profession I enjoy.

Cheryl L. Pederson, CRM, the President of ARMA wrote a great article titled “What’s in it for You?” that recently arrived in my e-mail that listed all the benefits the association provides members. She wrote about the educational opportunities, our annual association conference, networking, friendships, standards and best practices, benchmarking, and unique resources available to association members. She is absolutely correct on stating that these are valuable resources for those who wish to maintain their knowledge base. We owe it to ourselves to take advantage of all the resources available to us to insure that we stay proficient in our chosen profession.

One of the most outstanding programs provided by ARMA, the web seminars, are in my opinion, a real bonus to those of us who do not have the time or resources to attend seminars. While I may not have an immediate need for the type of information the seminar provides, it does increase my understanding of some of the issues brought out by the speaker. The question and answer session after the web seminar provide an opportunity to clarify your understanding directly with the speaker. It is also a bonus to be able to watch the presentation at a time of my convenience.

If I was working in the private and/or public sector I would try to reserve a room to view the presentations as a training session on records management for the staff. For example, one session; “New Rules in Electronic Discovery – and Their Impact upon Records Management”, presented by ARMA International and our own Puget Sound Chapter Member Joan Feldman, Managing Director OF Navigant Consulting Discovery Services Practice Group in Seattle, would be ideal for Information Management and the Legal Department staff. Another session; “Put the Cart Before the Horse: Why records management needs should play a larger role in defining and selecting enterprise content management systems”, presented by ARMA International and our good friend from British Columbia, Canada, Art Bellis, Director of Sales & Marketing for OmniRIM Solutions Inc. Art provides excellent information on the legal and compliance issues on why the records management should be involved in selecting an enterprise content management system.

Remember that the sessions are free as one of the benefits from your membership in the association. You may sign up for the seminars at http://www.arma.org/learningcenter/webseminars/index.cfm . The seminars are also maintained in the archives and available at the same website. Do take advantage of this educational opportunity!

Education is one of the keys to being successful in our profession. Note that our Great Northwest Region Coordinator, Fran Blaylock, wrote an excellent article on “Resilience, the Stepping Stone to a stronger ARMA and RIM Profession” that will appear in the March 2006 newsletters in our region. One statement she makes stood out to me; “Education is the key to staying resilient and prepared to take on any challenge”. Local chapter educational programs provides a forum to gain valuable knowledge of the records and information management field. In addition, the chapter meeting offers the attendees the opportunity to network and share information with others in our profession.

I encourage each and every one to take advantage of your membership and utilize the educational opportunities offered by ARMA International and your local chapter.

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.

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

Public Records Requests - Revised Law - Washington State

Question: What are your feelings on the new changes to Chapter 42.17 RCW Disclosure – Campaign – Finances – Lobbying – Records?

Answer: Thank you, thank you, thank you for this question.

This article, written specifically because of a change of a law in the State of Washington, is probably something that every records manager with responsibility for public disclosure requests in the United States can relate to and also of interest to those of us in the private sector that care about our tax dollars going down the drain. I have deep sympathy for those of you working in the public sector who is being burdened with processing public records requests without the funds to manage the program.

On the 10th of October of this year I had the opportunity to attend an Open Government Forum held at the Tacoma News Tribune Baker Conference Room sponsored by the State Attorney General’s Office for the following purpose:

Gather input on best practices for the public disclosure act model rules.
Educate the public on the new public disclosure act law … and how it helps government officials more effectively comply with requests in a timely manner.

The forum was chaired by the State Attorney General. The meeting opened and he acknowledged a state senator (Senator Rosa Franklin) who voted for the changes to the law; the state auditor (Brian Sonntag); Greg Overstreet, from the Attorney General Office, who is currently managing this project; then a representative from a local government agency (Barbara Werelius, Tacoma Public Utilities and member of the Puget Sound Chapter of ARMA) who explained to the audience what and how she handles public disclosure requests; then the managing editor from the Tacoma News Tribune who got a great laugh when he said he was going back to his office to prepare another request for public records; I spoke and mentioned that as a taxpayer I found it extremely upsetting at a time when public agencies are working with limited budgets the State Legislature had written another unfunded mandate for local agencies with the recent changes to the public disclosure law that requires each agency have an assigned Public Records Officer responsible for public records requests. Other interested people spoke on their valid issues where they were stone-walled by local and state government when they requested public records. At least one person, while totally within his rights to request records, was abusing the public disclosure system by admitting to the submittal of 150 requests over a 5 year period and after collecting the information from the government agency, filed/placed the disk on a shelf because he didn’t have the software to read it; and finally a government worker who declined to identify which state agency she worked for or her name in fear of retribution who defended her work processing public disclosure requests but was frustrated by workload that was actually supposed to be a small percentage of her job responsibilities.

The cost borne by the requestor is limited to a reasonable fee (of .15 cents per page) to cover the cost of copies and use of agency equipment. The new law allows the agency to collect a deposit fee (10% ) for the anticipated cost of documents to be copied. Note: there is absolutely no charge for the labor of the employee conducting the search and retrieval of the documents. The law does not address cost of producing electronic documents and in particular, e-mail. I guess they are free unless the requestor asks for a paper copy or they only furnish the emails in paper format.

In addition, because of a recent court case the Legislature, in their ultimate wisdom, changed the law to state: “the agency shall not deny a request for identifiable public records solely based on the basis that the request is overbroad”.

I have two problems with the law as it stands.

1. The law is changed to make the Public Records Officer responsible for public disclosure requests. Previously it made the Public Records Officer the coordinator for public records requests. I am not a lawyer, but if you are responsible, that would mean if you did not comply you will be held legally liable. For some reason this appears to be a change that removes the responsibility from the person with the authority and places it on someone who does not have the ability to insure compliance.

For example, the Attorney General of the State of Washington has designated an individual who is filling an authorized funded position which includes duties as the agency’s Public Records Officer. My guess is that this person does not work under the Attorney General, but under a director. I doubt she has the authority to direct and make changes to insure compliance but she has responsibility without authority. My guess this is probably true in any agency, local or state, in any state within the United States. It is, in my opinion, a bad law and unfair on the person filling the position.

2. The cost of providing public records needs to be addressed to insure that government agencies are not being burdened with of originating in the State legislature. The State of Washington has a law that precludes unfunded mandates as follows:

The people of Washington State have established a restriction on the financial burdens placed on local government by state directives. The fundamental purpose of the prohibition on what have been popularly referred to as “unfunded mandates” is expressed in RCW 43.135.010(4): “It is therefore the intent of this chapter to: . . . (c) Assure that the state does not impose responsibility on local governments for new programs or increased levels of service under existing programs unless the costs thereof are paid by the state;. . . .” This general intent has been implemented through specific statutory prohibition in RCW 43.135.060(1) which provides:
After July 1, 1995, the legislature shall not impose responsibility for new programs or increased levels of service under existing programs on any political subdivision of the state unless the subdivision is fully reimbursed by specific appropriation by the state for the cost of the new programs or increases in service levels. Reimbursement by the state may be made by: (a) A specific appropriation; or (b) increases in state distributions of revenue to political subdivisions occurring after January 1, 1998.

Apparently it is another law that no one pays attention to. But as a taxpayer I have serious concerns on the cost and potential abuse of the program to the detriment of the public. I image the costs problem could apply to any state in the union. My guess is that few local government agencies in any state in the union have a dedicated Public Records Officer on their payroll. If they have a Public Records Officer or Records Manager, it may be part of their duties, but probably only suppose to be a small part of their duties that has grown and devoured their primary duties. Additionally, the cost of the man hours required to search and retrieval of the documents are not being recovered by the agency and their primary duties are probably not being accomplished. I recommended at the meeting that they do a study of the requests by cities within the state to determine the actual cost of the program.

One of the things that I have noted in news articles on the records management listserv is the number of apparent requests for public disclosure from newspapers. I have noticed that many newspaper and colleges groups had sent teams out to visit locations within their state to see who are complying with public disclosure laws. I applaud their effort to make the public aware of the short comings of their state laws in respect to compliance within their states. I believe it has shown, as was some of the testimony at the forum, that there is an apparent need to insure that the public agencies are aware of the requirements of the laws. However, in our state, it appears based on the forum above; they should start at the state level to insure compliance and provide the training to insure all agencies are aware of their legal responsibilities. But, and a big but, the proposal to establish best practices for public disclosure model act, doesn’t appear to address my concerns as follows:
· The cost is still borne on the local agency in violation of RCW 43.135.010(4).
· The proposed model rules are voluntary. If they aren’t following the law now, the new rules are a waste of time since there are no serious consequences for not complying.
· If the state agency doesn’t comply with a request, the requestor has to sue the agency at his expense and hope to get his legal fees paid by the agency.
· There are no studies to reflect the actual cost to the agencies.
·
On the positive side, at least the local government agencies will have something that they can follow to meet their legal obligations to comply with public record disclosures. I also hope that the appearance of the state auditor at this meeting means their office will review compliance of the act as part of their performance audits of the state and local agencies.

While our local paper has the absolute right to request public records I wonder what the actual cost has been to the taxpayer to search and retrieve documents for a private company. For example, in recent Sunday paper, the Tacoma News Tribune had I believe 3 or 4 pages dedicated to a very sad chapter in the long string of problems the city of Tacoma had over the past couple of years. The information had to be requested and retrieved by city staff. A large majority of the information was in email, which the Business Information Services (BIS) group had to dedicate valuable staff to search and retrieve the documents for this project. At the same time, the BIS system was going through a major overhaul and cost overruns that would run a small underdeveloped country the city manager was looking at options to reduce staff, except in the BIS area.

I would recommend individuals and agencies to contact Greg Overstreet (grego@atg.wa.gov) to provide input on problems they have with the revised law and the impact on their ability to sustain the normal duties of the position due to the increased workload.



Robert W. Dalton, CRM
daltonconsulting@hotmail.com

Just Starting Out in the Field

"Do you have any recommendations for someone just starting out in the field”

In November 2004 I wrote a short article on this subject after talking with new ARMA chapter members or reviewing messages on the ARMA ListServ. In that article I listed three books that could help a newcomer to the profession and directed the reader to the ARMA bookstore website (http://www.arma.org/bookstore/index.cfm) where they could purchase the books. The books represent just three of many excellent books on records management that can be purchased.

‘Professional Records and Information Management’, 2d ed., Author: Jeffrey R. Stewart and Nancy M. Melesco. This is the book is used by a local community college in their Filing and Database Management Class. It provides an excellent overview for those new to records and information management. There are twelve chapters, covering a very broad scope of information management, from basic filing systems through electronic systems and media. It is limited to an overview of the subjects discussed, with the exception of the filing rules. It also includes a 3 ½” disk covering the filing rules.

‘Organize Your Office: A Small Business Survival Guide to Managing Records’, Author: Teri Mark, CRM. Although this book is described as a survival guide in teaching small business owners with fewer than 20 employees, home-based businesses, and the self-employed the principles and information provided on organizing business records may be applied to both public and the private sector. This is an easy read and written in non-technical terms.

‘Sample Forms for Archival and Records Management Programs’, published by ARMA International and Society of American Archivists. For those in public or private sector, this is a great resource that provides some excellent sample forms and polices that may be used and/or customized to meet your requirements. The book comes with camera-ready originals that can be photocopied and a CD with the forms in Microsoft Word and PDF formats.

I included these publications as they are currently in our Chapter’s library. If your ARMA chapter has a library, check out these books; they may help in your quest for knowledge in our field.

What other resources does ARMA offer to someone just entering the profession? The ARMA bookstore is an excellent resource, as well as the for-a-fee on-line training modules found at (http://www.arma.org/learningcenter/onlinecourses/index.cfm). A newcomer may want to check out the on-line RIM 101 course which is specifically designed with the new member in mind. The on-line course and text book provides an introduction to the field of records and information management (RIM).

Another source of training is your local ARMA chapter. My chapter, the Puget Sound Chapter of ARMA, tries to balance our monthly programs and/or workshops to include training in basic records management. Your chapter programs are probably an excellent resource for the newcomer. Take advantage of these relatively inexpensive educational opportunities. You also get to meet and talk with peers who have experienced and/or are experiencing some of the same issues you have. I believe you will find many professionals in your chapter who are more than willing to share their experiences. My editor below is one of my resources when I have a question or seek wisdom from someone more knowledgeable in a specific area of our field. If she doesn’t know, she knows who does, and shares unselfishly this knowledge if asked.

I personally take advantage of the RIM Listserv on the internet that consists of RIM professionals who, if properly asked, provide some quality guidance. You can sit back and follow the threads of the conversation. Be for warmed that you may get a lot of email traffic depending on the subject. To join, send an email message to: listserv@lists.ufl.edu - leave the subject line blank in the body of the message put subscribe RECMGMT-L

Unfortunately, and it may be my personal view, I do not see ARMA Headquarters providing the basic educational opportunities at their annual conferences and are relying on the local chapters or the fee-based training to fill this need. I attended the Chicago conference (which was excellent) and was surprised at the very limited offerings for someone who is just entering into the profession. I also reviewed the list of topics of proposals for presentations that are currently being solicited for the San Antonio ARMA conference in October 2006. Again I found it lacking in basic records and information management educational sessions. Hopefully, the current ARMA RIM Competency Project will address this need.


Bob Dalton, CRM of Dalton Consulting

Funding Justification for Records Management

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.

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 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 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.

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.

"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.