I’ve heard of the expression “Records Cops. Is that what the records people do?
Asked by a student and a thread on the records management listserv.
Response:
Unfortunately, many employees within an organization look upon the records manager as “records cops” who destroy records belonging to departments within the organization. I would like to think this is a misconception but experience has shown that it unfortunately is true in many cases. I personally recall clients who did not trust the records group because they destroyed their records without the permission of the department.
Personally, I am not a big fan of records management assuming the role of ownership of company records. Sometimes the records management listserv has a thread on this subject and I notice that there are people on the listserv who believe they are both custodian and owner of the company records. While I take great pride in assuming the management of the business records, I find it difficult to assume that because the records may be in our custody we have the authority to actually destroy the records even if the records retention period has passed.
I prefer to think that the records and information manager is responsible for maintaining the reliability of the records within the organization by establishing, implementing and maintaining the records management program that involves the creation, distribution, maintenance, protection, control, storage and destruction of the records. I seem to remember this from our records management books discussing the “Life Cycle of a Record”?
I firmly believe the responsibility for approving the destruction of records within the organization should be the responsibility of the client as they may have knowledge of records that could be a destruction exception that is unknown to the records manager. Destruction of records by a records manager that were an exception could undermine the goodwill of the client. I’ve actually known departments who rented and stored their inactive records in local storage lockers rather than have the records managed by the records management staff. How many of you have the approval authority to destroy records? If you have the authority, do you destroyed the records of your directors, CEO, CFO, etc., without getting prior approval. My guess you would ask permission or be looking for a new position if you destroyed something without their approval.
Some organizations may have other functions (legal, Accounting, etc.,) in their destruction approval process. For some reason having other functions within the company reviewing the destruction notices seems cumbersome, especially if the organization is very large and with units at different locations. The department should be made aware by other functions if there is a legal hold, tax hold, etc., as part of their normal business processes.
I am a firm believer that a destruction notice be created, if at all possible, by departmental records coordinators, reviewed and sent to and signed by the department owner of the records. The destruction notice or letter accompanying the destruction notice should also ask if there is a reason (legal, financial or administrative) why the records should not be destroyed. Perhaps a hold has been placed on the records by litigation. Maybe the tax audit has not cleared. These reasons would be sufficient to place a hold on the records until the matter is closed. A suspense system should be in place to review holds/tax audit records being held beyond their retention period.
Records that are to be retained beyond the retention period for administrative reasons should be reviewed annually to determine if the established retention period is insufficient to meet the needs of the organization.
In closing, I am a firm believer that records management function should not assume the role of the “records policeman” and the responsibility for destruction approval rests with the department owner
Wednesday, June 16, 2010
Reviewing Records for Destruction
Do you have any tips on reviewing records for destruction?
Question was recently asked by an administrator during a review of their department’s filing system.
Response:
While an organization may have a good records management program on paper, with all the proper policies and procedures, there usually is something missing in the process; the lack of consistent and timely reviews 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 staff assigned and trained to manage the program your records will not be reviewed regularly.
Here are a few things that I have found that work effectively with any records review:
If you have an existing records management database you can create a listing of records that are due for destruction for each client or department within your organization. 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.
If you use an outside vendor to manage your business records they probably have the ability to create listings of records due for destruction. The major vendors in my area have electronic systems that allow the customer to create and publish listings based on criteria established by the customer. Vendors will also create reports to your specifications for a fee.
If your lists of records transferred to storage (transmittals) are in paper mode only, start by reviewing the transfer notices of the oldest boxes in storage to insure the information on the transmittal accurately describes the records within the boxes. I have found over the years that not all records shipped to storage were accurately described. I have encountered transfer notices that did not include the dates of the records within the boxes. Box contents on the transfer notices simply labeled “Projects”. Each box with missing or misleading information will require individual inspection to determine the contents and see if they can be destroyed or re-indexed with the proper information to identify the contents.
As Ellie’s father said in the movie ‘Contact’; “Small moves Ellie, small moves”. The same goes with a records cleanup. Hopefully the client will review the listing and approve the destruction of the records. However, if you cannot get an approval of destruction of the collection, 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.
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 of records off-site at a commercial records center you may be able to arrange a room to view the records at their site. Generally there is a charge to using this viewing 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. I had clients actually request I put a few records at a time in their chair every morning to review.
If the actual owner of the records cannot or refuses to complete the review, you might have to find a person with the authority to approve the destruction and/or would be willing to have someone else who is knowledgeable perform the task.
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. If your local or state agency within a state that has a formal records management program, use or create a destruction notice that meets the state’s guidelines. 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. This is easy to say but a challenge to do. I have taken photographs of poorly managed storage areas and used them successfully in presentations to management staff 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.
Question was recently asked by an administrator during a review of their department’s filing system.
Response:
While an organization may have a good records management program on paper, with all the proper policies and procedures, there usually is something missing in the process; the lack of consistent and timely reviews 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 staff assigned and trained to manage the program your records will not be reviewed regularly.
Here are a few things that I have found that work effectively with any records review:
If you have an existing records management database you can create a listing of records that are due for destruction for each client or department within your organization. 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.
If you use an outside vendor to manage your business records they probably have the ability to create listings of records due for destruction. The major vendors in my area have electronic systems that allow the customer to create and publish listings based on criteria established by the customer. Vendors will also create reports to your specifications for a fee.
If your lists of records transferred to storage (transmittals) are in paper mode only, start by reviewing the transfer notices of the oldest boxes in storage to insure the information on the transmittal accurately describes the records within the boxes. I have found over the years that not all records shipped to storage were accurately described. I have encountered transfer notices that did not include the dates of the records within the boxes. Box contents on the transfer notices simply labeled “Projects”. Each box with missing or misleading information will require individual inspection to determine the contents and see if they can be destroyed or re-indexed with the proper information to identify the contents.
As Ellie’s father said in the movie ‘Contact’; “Small moves Ellie, small moves”. The same goes with a records cleanup. Hopefully the client will review the listing and approve the destruction of the records. However, if you cannot get an approval of destruction of the collection, 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.
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 of records off-site at a commercial records center you may be able to arrange a room to view the records at their site. Generally there is a charge to using this viewing 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. I had clients actually request I put a few records at a time in their chair every morning to review.
If the actual owner of the records cannot or refuses to complete the review, you might have to find a person with the authority to approve the destruction and/or would be willing to have someone else who is knowledgeable perform the task.
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. If your local or state agency within a state that has a formal records management program, use or create a destruction notice that meets the state’s guidelines. 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. This is easy to say but a challenge to do. I have taken photographs of poorly managed storage areas and used them successfully in presentations to management staff 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.
Tuesday, September 22, 2009
Managing Files in a Records Center
While reviewing my daily dose of email messages on the Records Management ListServ (RECMGMT-L@LISTS.UFL.EDU) the question was asked “how do you manage to retrieve files that have been checked out for a long period of time?”
This was an excellent topic that I believe most records managers have struggled with and some of the responses by our peers provided some good suggestions on the Records Management ListServ. Here are some of their suggestions:
• Barbara Wyton, on 8/20/2009 had two methods:
o She attached a bright yellow sticker to every individual file removed from their custody. It identified the file as archived material and instructed them to return it to their records center.
o She reviewed the database quarterly for files that had not been returned. She sent an email listing the items checked out to the individual and requested they return the item or indicate how much longer they needed to retain the records.
• Gary Link, 6/20/2009:
o Sends out periodic email reminders that included the file identification, retrieval date, and requests that they return the files if they are finished using them.
• Steve Morgan, 8/20/2009:
o Runs a report once a month listing files that have been out for an extended amount of time and sends an email message requesting the files be returned to the file center
Over the years I have seen variations of the methods listed above. Some of the methods I have seen and used are:
• Prepared and attached a document to the file and/or box that stated the files are “official corporate records” that have been retrieved for use by the requestor and must be returned within 30 days.
. A charge out card is placed in the spot where the file was retrieved and lists the requestor’s name, telephone number, file code, file name and date retrieved. The cards are reviewed monthly for any files out over a month. An email message is sent to the individual requesting they return the file and/or send a response indicating how much longer the files are required.
. A simpler system using a clip board with a charge out sheet can be used with instructions on how to fill out the form. The individual can fill out the form with the file code and name, their name, telephone number and date checked out. The clip board is checked monthly and an email message is sent to the individual emphasizing that the files are “official corporate records” requesting the return of the files and/or a response indicating how much longer the files are required.
• For records in an electronic document management system that uses barcode technology to track the files and/or boxes I pulled a monthly listing and emailed the person who checked out the records, again emphasizing the files/boxes are “official corporate records” and request their return to the records center. Records management software may be able to generate reminder notices sent to users on a schedule established by the records manager. A telephone call may be required for users who do not respond to your email message.
• I have prepared and posted signs in the file room and/or on cabinets with instructions on how to sign out and return records for re-filing. I also provided an in-box where the users were instructed to put files when they returned them for re-filing. All re-filing was accomplished by the records staff to preclude misfiles.
Unfortunately, many organizations do not have staff to manage their records and/or give the responsibility to an individual who has been assigned the task without the necessary training. When working with clients who have shipped their records to an outside vendor’s record center and/or manages an in-house records center I have recommended they have central control or management of all records sent into storage. A listing should be retained of all files/boxes retrieved by file name, box/barcode number, requestors name, phone number and date retrieved from storage with a suspense date established for return of the files/boxes by the requestor. If the file/box is not returned by the suspense date an appropriate follow-up should be taken to insure the return of the files/boxes to the proper storage location. Again, a follow-up phone call to the requestor may be necessary for those who did not respond to your email message.
I also recommend the records manager be part of the out processing clearance of employees departing the company so they can determine that the individual does not have any “official corporate records” checked out.
You may also want to check out other resources on the management records available through the ARMA bookstore at www.arma.org.
This was an excellent topic that I believe most records managers have struggled with and some of the responses by our peers provided some good suggestions on the Records Management ListServ. Here are some of their suggestions:
• Barbara Wyton, on 8/20/2009 had two methods:
o She attached a bright yellow sticker to every individual file removed from their custody. It identified the file as archived material and instructed them to return it to their records center.
o She reviewed the database quarterly for files that had not been returned. She sent an email listing the items checked out to the individual and requested they return the item or indicate how much longer they needed to retain the records.
• Gary Link, 6/20/2009:
o Sends out periodic email reminders that included the file identification, retrieval date, and requests that they return the files if they are finished using them.
• Steve Morgan, 8/20/2009:
o Runs a report once a month listing files that have been out for an extended amount of time and sends an email message requesting the files be returned to the file center
Over the years I have seen variations of the methods listed above. Some of the methods I have seen and used are:
• Prepared and attached a document to the file and/or box that stated the files are “official corporate records” that have been retrieved for use by the requestor and must be returned within 30 days.
. A charge out card is placed in the spot where the file was retrieved and lists the requestor’s name, telephone number, file code, file name and date retrieved. The cards are reviewed monthly for any files out over a month. An email message is sent to the individual requesting they return the file and/or send a response indicating how much longer the files are required.
. A simpler system using a clip board with a charge out sheet can be used with instructions on how to fill out the form. The individual can fill out the form with the file code and name, their name, telephone number and date checked out. The clip board is checked monthly and an email message is sent to the individual emphasizing that the files are “official corporate records” requesting the return of the files and/or a response indicating how much longer the files are required.
• For records in an electronic document management system that uses barcode technology to track the files and/or boxes I pulled a monthly listing and emailed the person who checked out the records, again emphasizing the files/boxes are “official corporate records” and request their return to the records center. Records management software may be able to generate reminder notices sent to users on a schedule established by the records manager. A telephone call may be required for users who do not respond to your email message.
• I have prepared and posted signs in the file room and/or on cabinets with instructions on how to sign out and return records for re-filing. I also provided an in-box where the users were instructed to put files when they returned them for re-filing. All re-filing was accomplished by the records staff to preclude misfiles.
Unfortunately, many organizations do not have staff to manage their records and/or give the responsibility to an individual who has been assigned the task without the necessary training. When working with clients who have shipped their records to an outside vendor’s record center and/or manages an in-house records center I have recommended they have central control or management of all records sent into storage. A listing should be retained of all files/boxes retrieved by file name, box/barcode number, requestors name, phone number and date retrieved from storage with a suspense date established for return of the files/boxes by the requestor. If the file/box is not returned by the suspense date an appropriate follow-up should be taken to insure the return of the files/boxes to the proper storage location. Again, a follow-up phone call to the requestor may be necessary for those who did not respond to your email message.
I also recommend the records manager be part of the out processing clearance of employees departing the company so they can determine that the individual does not have any “official corporate records” checked out.
You may also want to check out other resources on the management records available through the ARMA bookstore at www.arma.org.
Sunday, June 07, 2009
Keeping Up with Technology
Question: I was recently asked by a client who is an information technology manager how I keep up with all the changes in technology that effect document management.
Response:
This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.
Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.
One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.
I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.
As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.
While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.
Response:
This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.
Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.
One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.
I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.
As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.
While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.
How do you develop a retention schedule?
Part II
I was asked this question by a department manager who was considering the development of a records management program for his department.
In a previous article in the May, 2009 issue of ‘Soundings’ I stated that the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.
The inventory process is also an excellent way to identify possible work process changes and identify records or reports that may no longer be required within the organization. This is where a flow chart may be useful to determine who sends or receives the documents. When I am working with a client I will ask the following questions:
• “What function does your position perform within the organization?”
• “What is your primary responsibility?”
• “What records are you responsible for?”
Records Appraisal and Retention Schedule Development
Once you have the inventory completed, the next stage in the development of a retention schedule is the appraisal of the records listed on the inventory. Types of informational values may include:
• Legal and regulatory value: records required by federal, state, county statues and regulations and form the basis for the retention period established for your records. Following the legal regulations demonstrates your compliance on maintaining your records.
• Fiscal Value: These are records that relate to the financial transactions of the organization and are required for audits and tax purposes.
• Administrative/Operational Value: These are normally records that do not have a legal, regulatory or fiscal value to the organization. They document activities within the organization and are created in the performance of the function. The record owner usually knows how long the records should be retained.
• Historic Value: If the organization has an official archives in-house the records maybe reviewed to see if they document the historic development of the organization. A question on the inventory form may be used to identify those records that may be considered archival.
Some organizations may also evaluate records that they considered as vital. These are records containing information that would be vital to business resumption in the event of a disaster. A question on the inventory form may be used to identify records that may be considered vital. You want to note that the record is vital on your retention schedule and may require additional protection by duplication.
The records appraisal also includes the need to conduct some research into the legal and regulatory (which includes fiscal) retention requirements for the records within your collection.
Some resources for legal research are:
• Software:
o Information Housing Clearing House – Retention Manager 3 (http://www.irch.com/index.htm)
o Zasio - Retention 7 (www.zasio.com)
• Federal (http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1)
Washington State – WAC (http://apps.leg.wa.gov/wac/) or RCW (http://apps.leg.wa.gov/)
• Washington State Secretary of State: http://www.secstate.wa.gov/archives/gs_local.aspx
• ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
• Directory of State Archives and Records Management Programs www.statearchivists.org/states.htm#hi
• Associations may have established a generic retention schedules
• Users within the department may know of a legal requirement.
Once you have completed the legal research and developed the retention schedule you should have the schedule reviewed and approved by an approving authority within the organization to insure that the schedule meets the legal/operational needs. Some of the reviewers could be:
• Legal
• Auditor
• Financial Manager
• Tax
• Department
• Corporate Records Manager
• Corporate Records Committee (major owners of the records)
Additional Resources
Resources that I have used in the past for assistance in creating retention schedules have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
You may also want to check out other resources on retention schedule development that are available through the ARMA bookstore at www.arma.org.
I was asked this question by a department manager who was considering the development of a records management program for his department.
In a previous article in the May, 2009 issue of ‘Soundings’ I stated that the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.
The inventory process is also an excellent way to identify possible work process changes and identify records or reports that may no longer be required within the organization. This is where a flow chart may be useful to determine who sends or receives the documents. When I am working with a client I will ask the following questions:
• “What function does your position perform within the organization?”
• “What is your primary responsibility?”
• “What records are you responsible for?”
Records Appraisal and Retention Schedule Development
Once you have the inventory completed, the next stage in the development of a retention schedule is the appraisal of the records listed on the inventory. Types of informational values may include:
• Legal and regulatory value: records required by federal, state, county statues and regulations and form the basis for the retention period established for your records. Following the legal regulations demonstrates your compliance on maintaining your records.
• Fiscal Value: These are records that relate to the financial transactions of the organization and are required for audits and tax purposes.
• Administrative/Operational Value: These are normally records that do not have a legal, regulatory or fiscal value to the organization. They document activities within the organization and are created in the performance of the function. The record owner usually knows how long the records should be retained.
• Historic Value: If the organization has an official archives in-house the records maybe reviewed to see if they document the historic development of the organization. A question on the inventory form may be used to identify those records that may be considered archival.
Some organizations may also evaluate records that they considered as vital. These are records containing information that would be vital to business resumption in the event of a disaster. A question on the inventory form may be used to identify records that may be considered vital. You want to note that the record is vital on your retention schedule and may require additional protection by duplication.
The records appraisal also includes the need to conduct some research into the legal and regulatory (which includes fiscal) retention requirements for the records within your collection.
Some resources for legal research are:
• Software:
o Information Housing Clearing House – Retention Manager 3 (http://www.irch.com/index.htm)
o Zasio - Retention 7 (www.zasio.com)
• Federal (http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1)
Washington State – WAC (http://apps.leg.wa.gov/wac/) or RCW (http://apps.leg.wa.gov/)
• Washington State Secretary of State: http://www.secstate.wa.gov/archives/gs_local.aspx
• ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
• Directory of State Archives and Records Management Programs www.statearchivists.org/states.htm#hi
• Associations may have established a generic retention schedules
• Users within the department may know of a legal requirement.
Once you have completed the legal research and developed the retention schedule you should have the schedule reviewed and approved by an approving authority within the organization to insure that the schedule meets the legal/operational needs. Some of the reviewers could be:
• Legal
• Auditor
• Financial Manager
• Tax
• Department
• Corporate Records Manager
• Corporate Records Committee (major owners of the records)
Additional Resources
Resources that I have used in the past for assistance in creating retention schedules have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
You may also want to check out other resources on retention schedule development that are available through the ARMA bookstore at www.arma.org.
How do you conduct a records inventory?
I was asked this question by a department manager who was considering the development of a records management program for his department.
Ideally, you would hope that the organization would have records management program in place. However, if the organization does not have a program there is nothing that would preclude a department from establishing a records management program to manage their business records. The key to success is management support. The manager should be actively involved in the establishment of the program by being visible and supportive throughout the process. They should be the one that authorizes the program, communicates the purpose of the program, assigns the project manager and remains active in the process to insure cooperation by the staff.
Records Inventory Methodology
A records inventory is the first step in establishing a department records management program. There are two established methods for conducting an inventory:
1. The Questionnaire method: a form is developed, sent to each group within the department and used to collect the information. The department personnel complete the form and return the information to the designated project lead or the;
2. The Physical survey method; the form is developed and an actual physical inventory of the records is completed by a project team member.
Both methods require individuals completing the questionnaire and/or survey. These individuals are trained on how to complete the survey. The records management purist will lean towards the physical survey methodology as it may provide a more accurate survey of the active and inactive records being maintained by the organization. I have personally used both methods and/or a combination of methods. Remember, the inventory should locate, identify and describe all the records within the department at the records series level, regardless of format (electronic, paper, microfilm, CD/DVD, etc.). The record series level is a set of related records that are used and filed as a unit.
Either method will require an in-depth review by the project lead and/or the individual who will eventually create the retention schedule for the department to insure all the information on the record series has been collected. It has been my experience that either survey method will require some follow-up with the department staff to insure complete understanding of the records series.
I have also found it useful to draw a simple flow chart of the records flow when reviewing the forms with the owner of the records. The flow chart provides a visual presentation on the creation, disposition, final ownership of the record series and who receives copies of the document. The flow chart may also assist in providing information that shows the transition from a paper record into a digital format.
Resources
Resources that I have used in the past for assistance in producing an inventory have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA International and SAA, “Sample Forms for Archival & Records Management Programs”, 2nd Edition, 2002, ARMA & SAA. The book also contains a CD with a collection of sample forms for both Archives and Records management in word and PDF format. Well worth the $28.00 for ARMA members or $40.00 for non-members. You can save the formats and modify them to meet your specific needs.
You may also want to check out other resources on retention schedule development hat are available through the ARMA bookstore at www.arma.org.
Remember the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.
(To be continued next month)
Ideally, you would hope that the organization would have records management program in place. However, if the organization does not have a program there is nothing that would preclude a department from establishing a records management program to manage their business records. The key to success is management support. The manager should be actively involved in the establishment of the program by being visible and supportive throughout the process. They should be the one that authorizes the program, communicates the purpose of the program, assigns the project manager and remains active in the process to insure cooperation by the staff.
Records Inventory Methodology
A records inventory is the first step in establishing a department records management program. There are two established methods for conducting an inventory:
1. The Questionnaire method: a form is developed, sent to each group within the department and used to collect the information. The department personnel complete the form and return the information to the designated project lead or the;
2. The Physical survey method; the form is developed and an actual physical inventory of the records is completed by a project team member.
Both methods require individuals completing the questionnaire and/or survey. These individuals are trained on how to complete the survey. The records management purist will lean towards the physical survey methodology as it may provide a more accurate survey of the active and inactive records being maintained by the organization. I have personally used both methods and/or a combination of methods. Remember, the inventory should locate, identify and describe all the records within the department at the records series level, regardless of format (electronic, paper, microfilm, CD/DVD, etc.). The record series level is a set of related records that are used and filed as a unit.
Either method will require an in-depth review by the project lead and/or the individual who will eventually create the retention schedule for the department to insure all the information on the record series has been collected. It has been my experience that either survey method will require some follow-up with the department staff to insure complete understanding of the records series.
I have also found it useful to draw a simple flow chart of the records flow when reviewing the forms with the owner of the records. The flow chart provides a visual presentation on the creation, disposition, final ownership of the record series and who receives copies of the document. The flow chart may also assist in providing information that shows the transition from a paper record into a digital format.
Resources
Resources that I have used in the past for assistance in producing an inventory have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA International and SAA, “Sample Forms for Archival & Records Management Programs”, 2nd Edition, 2002, ARMA & SAA. The book also contains a CD with a collection of sample forms for both Archives and Records management in word and PDF format. Well worth the $28.00 for ARMA members or $40.00 for non-members. You can save the formats and modify them to meet your specific needs.
You may also want to check out other resources on retention schedule development hat are available through the ARMA bookstore at www.arma.org.
Remember the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.
(To be continued next month)
Sunday, March 01, 2009
What Did I Learn at the ARMA Conference in Las Vegas?
This was a follow-up question to my last month’s article titled "Why am I’m going to the ARMA Conference in Las Vegas?” My reasons were: the educational sessions, vendor show, meeting and talking with other professionals in the records and information management field.
This year I prepared an agenda of educational sessions and vendors that were of specific interest to me as a consultant. However, I found that I had misjudged my allocation of time for visiting the vendor show so I limited my sessions to those that were of the most interest to me and that would benefit my clients.
Before the conference I read the excellent article, “Big Buckets for Simplifying Records Retention Schedules” by Susan Cisco, Ph.D., CRM, in ARMA International’s Hottopic , 2008, and I was interested in hearing more on how they managed the actual legal research information in the “Big Buckets” approach. While the subject of the legal research was not covered during the session, I did find the session interesting and confirmed some of my perceptions on the topic. I would highly recommend reading the above article that was included with your ‘Information Management Journal’. In particular, read the pros and cons of the “Big Bucket” approach on page 4 and 5 of the publication, plus the other articles on the subject in the publication by Bruce Miller on “Strategies for Improving Electronic Recordkeeping Performance” and John Montana’s,(JD), “Legal Implications for Using Big Buckets”.
I attended a second session on Big Buckets by Cheryl Smith (NetSmith Inc.) titled “How to Develop a Big-Bucket Retention Schedule”, on their approach in implementing a records program for a federal agency. I found it quite interesting and they provided handouts that made sense. They reduced their overall retention schedule down from 299 records series to three buckets. At the end of the session they mentioned they had some record exceptions left over...I assumed they used little junior buckets? Overall the session was worth my time.
Apparently “Big Bucket” was this year’s buzz word as many of the speakers were mentioning the “new” methodology for managing records in today’s environment. One of the reasons for the need for this new methodology was that the “client” doesn’t understand the old method. I do not agree with that argument.
I did attend an excellent session titled “Web 2.0 and the Records Manager” by Robin Riat (National Archives and Records Administration). She provided a great overview on the subject and outlined some of the disadvantages the organization should consider when using the technology. She provided some great on-line resources that would demonstrate how the technology may be used to the advantage of the corporation or agency. The main point I got from the session was you really need to work with your IT and legal departments to insure an awareness of the consequences of using the technology (what technology?). Your existing document management policy should be updated to include the use and/or the restrictions on use of this technology.
I attended two very good poster sessions (what is a poster session?)held on Tuesday provided some excellent information for someone coming into the profession. They were:
Amy Ellis, El Paso Corporation, poster session on “Developing a Records Management Training Program” provided an excellent roadmap for anyone wanting guidance in the development of a program. It was well worth stopping by and reviewing the posters.
Richard Smith’s, Express Scripts, Inc., poster session on “Six Starting Points for a Records Management Rookie” also was well worth stopping by and viewing. While this program was geared towards someone just entering the field, it provided anyone in our field a quick outline of the objectives and benefits of a document management program.
Remember most of the speakers provided handouts that were on the Conference Handouts disk to conference attendees.
As a records management professional who works as a consultant I need to keep abreast of what is going on in the records and information management field. That is why I spend much of my time attending the vendor show at the conference. Again, this year all the major vendors in the field were in the exhibition hall and provided me with excellent information in their sessions and/or the handouts. The one vendor, Microsoft, was absent, but many of the vendors were touting their product’s ability to connect seamlessly to Microsoft’s Sharepoint. I think the saying “So much to see and so little time” is appropriate in this case. I found that I did not have sufficient time to digest all the information without memory overload. I brought home what seems like a box full of literature and demonstration disks that I can review at my leisure.
I counted 4 sessions that were labeled appropriate for entry-level RIM practitioners. In my opinion none of the sessions taught the basics. I would imagine that many of the attendees were new to the profession. It would seem appropriate to provide a basic track that would include subjects such as inventorying, retention schedule development and classification systems.
I also enjoyed spending time at the ARMA social events, ICRM meeting and reception, and Listserv party where I got a chance to re-new old acquaintances and meet new people. It was a pleasure to again visit with Bill Benedon, one of the fathers of modern records management, who is also a great contributor to the ARMA Listserv.
I was not happy about the LONG walk required to get to the conference sessions from the Hilton Hotel (plus another ¼ mile to my hotel).
But, overall I was very satisfied with the sessions I attended and the information received from the vendors. I am already getting excited about attending the next conference in Orlando, Florida in 2009.
In case you are interested in an explanation of Blogging, Wiki’s and Twitters the following URL with a short video was posted to the RM Listserv by one of the members. Check out: http://www.commoncraft.com/
Past articles on records management can be found on my BLOG site at http://askthecrm.blogspot.com/
This year I prepared an agenda of educational sessions and vendors that were of specific interest to me as a consultant. However, I found that I had misjudged my allocation of time for visiting the vendor show so I limited my sessions to those that were of the most interest to me and that would benefit my clients.
Before the conference I read the excellent article, “Big Buckets for Simplifying Records Retention Schedules” by Susan Cisco, Ph.D., CRM, in ARMA International’s Hottopic , 2008, and I was interested in hearing more on how they managed the actual legal research information in the “Big Buckets” approach. While the subject of the legal research was not covered during the session, I did find the session interesting and confirmed some of my perceptions on the topic. I would highly recommend reading the above article that was included with your ‘Information Management Journal’. In particular, read the pros and cons of the “Big Bucket” approach on page 4 and 5 of the publication, plus the other articles on the subject in the publication by Bruce Miller on “Strategies for Improving Electronic Recordkeeping Performance” and John Montana’s,(JD), “Legal Implications for Using Big Buckets”.
I attended a second session on Big Buckets by Cheryl Smith (NetSmith Inc.) titled “How to Develop a Big-Bucket Retention Schedule”, on their approach in implementing a records program for a federal agency. I found it quite interesting and they provided handouts that made sense. They reduced their overall retention schedule down from 299 records series to three buckets. At the end of the session they mentioned they had some record exceptions left over...I assumed they used little junior buckets? Overall the session was worth my time.
Apparently “Big Bucket” was this year’s buzz word as many of the speakers were mentioning the “new” methodology for managing records in today’s environment. One of the reasons for the need for this new methodology was that the “client” doesn’t understand the old method. I do not agree with that argument.
I did attend an excellent session titled “Web 2.0 and the Records Manager” by Robin Riat (National Archives and Records Administration). She provided a great overview on the subject and outlined some of the disadvantages the organization should consider when using the technology. She provided some great on-line resources that would demonstrate how the technology may be used to the advantage of the corporation or agency. The main point I got from the session was you really need to work with your IT and legal departments to insure an awareness of the consequences of using the technology (what technology?). Your existing document management policy should be updated to include the use and/or the restrictions on use of this technology.
I attended two very good poster sessions (what is a poster session?)held on Tuesday provided some excellent information for someone coming into the profession. They were:
Amy Ellis, El Paso Corporation, poster session on “Developing a Records Management Training Program” provided an excellent roadmap for anyone wanting guidance in the development of a program. It was well worth stopping by and reviewing the posters.
Richard Smith’s, Express Scripts, Inc., poster session on “Six Starting Points for a Records Management Rookie” also was well worth stopping by and viewing. While this program was geared towards someone just entering the field, it provided anyone in our field a quick outline of the objectives and benefits of a document management program.
Remember most of the speakers provided handouts that were on the Conference Handouts disk to conference attendees.
As a records management professional who works as a consultant I need to keep abreast of what is going on in the records and information management field. That is why I spend much of my time attending the vendor show at the conference. Again, this year all the major vendors in the field were in the exhibition hall and provided me with excellent information in their sessions and/or the handouts. The one vendor, Microsoft, was absent, but many of the vendors were touting their product’s ability to connect seamlessly to Microsoft’s Sharepoint. I think the saying “So much to see and so little time” is appropriate in this case. I found that I did not have sufficient time to digest all the information without memory overload. I brought home what seems like a box full of literature and demonstration disks that I can review at my leisure.
I counted 4 sessions that were labeled appropriate for entry-level RIM practitioners. In my opinion none of the sessions taught the basics. I would imagine that many of the attendees were new to the profession. It would seem appropriate to provide a basic track that would include subjects such as inventorying, retention schedule development and classification systems.
I also enjoyed spending time at the ARMA social events, ICRM meeting and reception, and Listserv party where I got a chance to re-new old acquaintances and meet new people. It was a pleasure to again visit with Bill Benedon, one of the fathers of modern records management, who is also a great contributor to the ARMA Listserv.
I was not happy about the LONG walk required to get to the conference sessions from the Hilton Hotel (plus another ¼ mile to my hotel).
But, overall I was very satisfied with the sessions I attended and the information received from the vendors. I am already getting excited about attending the next conference in Orlando, Florida in 2009.
In case you are interested in an explanation of Blogging, Wiki’s and Twitters the following URL with a short video was posted to the RM Listserv by one of the members. Check out: http://www.commoncraft.com/
Past articles on records management can be found on my BLOG site at http://askthecrm.blogspot.com/
What are some steps in implementing a retention schedule?
Question:
Our department has recently reviewed the new retention requirements for our business records. Now that we have a retention schedule what are some of the steps we can take to implement it?
Question was recently asked by an administrator during a review of their department’s filing system.
Response:
While you now have a retention schedule in place, you may need to:
• Secure the support of management and if possible someone with the authority to pave the way with staff members who may not be helpful in your pursuit of implementing the schedule and may be perceive you as destroying their records.
• Always check to insure:
o No legal requirement to retain the records being reviewed for destruction.
o Audits have been completed for financial records.
o If appropriate, performance audits are completed.
• Try to secure a dedicated room to store and review the records prior to destruction so the client doesn’t have clutter in his area. You probably already have the clutter in yours. If you have a collection that is off-site at a commercial records center you may be able to arrange a room to view the records at their site. Remember to check if the vendor charges to use their room.
• Order supplies in advance that you may need prior to the review (replacement boxes, markers, barcodes, labels, scissors, tape, etc).
• Try to identify and locate transfer notices, paper indexes, electronic indexes and an index of holdings at your outside commercial records center. Make copies for your own use in the review process.
• If you have a records management database, create a listing of records that are due for destruction for each client/department. Annotate those records that may be over due for review. If you suspect an error in the retention period, write a comment on the index that the record may require retention for longer period of time I have found a client appreciates your input as the specialist in records retention matters
There are no specific rules on how you implement a retention schedule. However, there has been one constant, the lack of consistent review of records past their retention period. I am sure that many of you can relate to this problem with records stored in a variety of locations. So the review of records that are currently in storage would be an excellent place to start. Areas where you can start are:
• A storage room that the department maintains.
• An internal records center.
• The company contracted commercial records center.
Here are a few things that I have found to work effectively with any records review:
• If you have a large volume of boxes due for destruction, select the easiest and smallest collection for the initial review.) This allows you time to get your destruction processes tweaked so you can work more efficiently as the review process continues.
• Phase the review of large collection of records. If you cannot get the approval to destroy a large amount of files or boxes, arrange to review them in small doses. You will have a better chance of getting the cooperation of the reviewer if they do not perceive the task as overwhelming. The smaller the amount of records the client has to review the better.
• Try to have the client set aside specific time for review and management of their records. Emphasize time management.
• If the primary reviewer cannot or will not do the review, see if some other person with the authority to approve the destruction would be willing to perform the task.
• Review all boxes in storage to insure they have an appropriate retention period assigned and insure that your indexes and outside commercial vendor’s database reflects the correct retention. Once you have destroyed the backlog of older records, the annual review and destruction program will be much easier.
• If you have an onsite records center and/or special areas to store records, do not let them become a dumping ground for non-records. Insist on control of the environment to insure the protection of the records from unauthorized use and review.
• Take before and after photographs of storage areas and use them successfully in presentations to management to emphasize potential risk to the organizations. Also mention the total number of boxes and/or total volume of documents destroyed, filing cabinets emptied (space saved). If you know the cost per square foot of storage space then list that in your presentation. Businesses/agencies are always looking for cost savings.
• Celebrate when you have completed the records review and destruction of those records that have reached the end of their assigned retention.
Our department has recently reviewed the new retention requirements for our business records. Now that we have a retention schedule what are some of the steps we can take to implement it?
Question was recently asked by an administrator during a review of their department’s filing system.
Response:
While you now have a retention schedule in place, you may need to:
• Secure the support of management and if possible someone with the authority to pave the way with staff members who may not be helpful in your pursuit of implementing the schedule and may be perceive you as destroying their records.
• Always check to insure:
o No legal requirement to retain the records being reviewed for destruction.
o Audits have been completed for financial records.
o If appropriate, performance audits are completed.
• Try to secure a dedicated room to store and review the records prior to destruction so the client doesn’t have clutter in his area. You probably already have the clutter in yours. If you have a collection that is off-site at a commercial records center you may be able to arrange a room to view the records at their site. Remember to check if the vendor charges to use their room.
• Order supplies in advance that you may need prior to the review (replacement boxes, markers, barcodes, labels, scissors, tape, etc).
• Try to identify and locate transfer notices, paper indexes, electronic indexes and an index of holdings at your outside commercial records center. Make copies for your own use in the review process.
• If you have a records management database, create a listing of records that are due for destruction for each client/department. Annotate those records that may be over due for review. If you suspect an error in the retention period, write a comment on the index that the record may require retention for longer period of time I have found a client appreciates your input as the specialist in records retention matters
There are no specific rules on how you implement a retention schedule. However, there has been one constant, the lack of consistent review of records past their retention period. I am sure that many of you can relate to this problem with records stored in a variety of locations. So the review of records that are currently in storage would be an excellent place to start. Areas where you can start are:
• A storage room that the department maintains.
• An internal records center.
• The company contracted commercial records center.
Here are a few things that I have found to work effectively with any records review:
• If you have a large volume of boxes due for destruction, select the easiest and smallest collection for the initial review.) This allows you time to get your destruction processes tweaked so you can work more efficiently as the review process continues.
• Phase the review of large collection of records. If you cannot get the approval to destroy a large amount of files or boxes, arrange to review them in small doses. You will have a better chance of getting the cooperation of the reviewer if they do not perceive the task as overwhelming. The smaller the amount of records the client has to review the better.
• Try to have the client set aside specific time for review and management of their records. Emphasize time management.
• If the primary reviewer cannot or will not do the review, see if some other person with the authority to approve the destruction would be willing to perform the task.
• Review all boxes in storage to insure they have an appropriate retention period assigned and insure that your indexes and outside commercial vendor’s database reflects the correct retention. Once you have destroyed the backlog of older records, the annual review and destruction program will be much easier.
• If you have an onsite records center and/or special areas to store records, do not let them become a dumping ground for non-records. Insist on control of the environment to insure the protection of the records from unauthorized use and review.
• Take before and after photographs of storage areas and use them successfully in presentations to management to emphasize potential risk to the organizations. Also mention the total number of boxes and/or total volume of documents destroyed, filing cabinets emptied (space saved). If you know the cost per square foot of storage space then list that in your presentation. Businesses/agencies are always looking for cost savings.
• Celebrate when you have completed the records review and destruction of those records that have reached the end of their assigned retention.
How I keep up with changes in Technology
Question: I was recently asked by a client who is an information technology manager how I keep up with all the changes in technology that effect document management.
Response:
This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.
Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.
One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.
I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.
As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.
While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.
Response:
This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.
Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.
One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.
I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.
As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.
While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.
What Benefits are there in being a member of the local ARMA chapter?
This is an excellent question from beginners learning about records management as a profession and ARMA International as an association dedicated to promoting the profession. The text book used by the student in a local college class discusses associations promoting records and information management. For new ARMA members the ARMA International web site provides excellent information on the benefits of ARMA International membership. Unfortunately ARMA does not provide sufficient information in their brochures or website promoting the benefits of belonging to a local chapter.
As a long time member of the local chapter I personally look forward to the monthly meeting of our local chapter. The reason I attend the meeting and programs is quite simple. Where else can you receive a monthly educational program for minimal cost? If your employer does not support the cost of the dinner you may come and sit with the other back benchers and receive an hour of training, free of charge. Since September 2003 my chapter has conducted seven (7) educational programs, six (6) workshops and one half day seminar for it’s membership.
Where else will you get programs and speakers on current records management topics such as “Preservation of Electronic Documents with Historic or Archival Significance”, “The Paperless Patent Application & Tracking System”, “Developing Retention and Disposition Strategies for E-Records”, “The Effect of Recent Privacy Legislation on Public Records Disclosure in Washington State”, “The Evolving Role and Competencies of Records and Information Managers”, “Course 101 – Cleaning up the Mess”, “You’ve got a Lawsuit: Recent Cases of Electronic Records, Instant Messaging and Other Pitfalls of Document Management in the Information Age”, plus workshops on “Instant Messaging”, “How to become a CRM”, “The Morning After: How well did your commercial Records Center Protect your Records”. The programs were presented by members of the chapter or other well known experts in their field.
Where else can you go and meet people working in your profession in an informal setting with the opportunity to discuss common records management challenges?
Where else can you go and talk with knowledgeable vendors in the information management field (equipment and supplies, scanning and microfilm, electronic records, commercial records centers.) without feeling pressured by a sales representative?
Where else can you receive a newsletter that keeps you informed of local events of interest that may directly impact the way you manage your organization’s most valuable asset, information?
Where else can you check out a book on current records management topics? You can avoid purchasing the book and you can keep the book for at least a month. This would be a real benefit for someone new in the profession or an organization with limited funds available to purchase books.
Where else can you go to build your skills and knowledge in the profession that will make you a more valuable employee of your organization?
The local chapters of ARMA provide all of the above services to their members at a nominal annual cost.
Think about it! If we did not have a group of dedicated ARMA members in local chapters, who voluntarily work to promote the profession, we would not have a chapter, educational programs or the other local resources to assist us in becoming knowledgeable in our chosen profession.
I have said in the past and will continue to say it until I retire, that I never leave an ARMA meeting without learning something new.
As a long time member of the local chapter I personally look forward to the monthly meeting of our local chapter. The reason I attend the meeting and programs is quite simple. Where else can you receive a monthly educational program for minimal cost? If your employer does not support the cost of the dinner you may come and sit with the other back benchers and receive an hour of training, free of charge. Since September 2003 my chapter has conducted seven (7) educational programs, six (6) workshops and one half day seminar for it’s membership.
Where else will you get programs and speakers on current records management topics such as “Preservation of Electronic Documents with Historic or Archival Significance”, “The Paperless Patent Application & Tracking System”, “Developing Retention and Disposition Strategies for E-Records”, “The Effect of Recent Privacy Legislation on Public Records Disclosure in Washington State”, “The Evolving Role and Competencies of Records and Information Managers”, “Course 101 – Cleaning up the Mess”, “You’ve got a Lawsuit: Recent Cases of Electronic Records, Instant Messaging and Other Pitfalls of Document Management in the Information Age”, plus workshops on “Instant Messaging”, “How to become a CRM”, “The Morning After: How well did your commercial Records Center Protect your Records”. The programs were presented by members of the chapter or other well known experts in their field.
Where else can you go and meet people working in your profession in an informal setting with the opportunity to discuss common records management challenges?
Where else can you go and talk with knowledgeable vendors in the information management field (equipment and supplies, scanning and microfilm, electronic records, commercial records centers.) without feeling pressured by a sales representative?
Where else can you receive a newsletter that keeps you informed of local events of interest that may directly impact the way you manage your organization’s most valuable asset, information?
Where else can you check out a book on current records management topics? You can avoid purchasing the book and you can keep the book for at least a month. This would be a real benefit for someone new in the profession or an organization with limited funds available to purchase books.
Where else can you go to build your skills and knowledge in the profession that will make you a more valuable employee of your organization?
The local chapters of ARMA provide all of the above services to their members at a nominal annual cost.
Think about it! If we did not have a group of dedicated ARMA members in local chapters, who voluntarily work to promote the profession, we would not have a chapter, educational programs or the other local resources to assist us in becoming knowledgeable in our chosen profession.
I have said in the past and will continue to say it until I retire, that I never leave an ARMA meeting without learning something new.
Wednesday, August 06, 2008
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.
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.
Saturday, June 07, 2008
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.
• 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.
Friday, October 05, 2007
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
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
Saturday, April 14, 2007
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.
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.
Tuesday, September 26, 2006
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.
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.
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.
Wednesday, April 26, 2006
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
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
Thursday, March 23, 2006
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
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
Wednesday, March 22, 2006
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.
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.
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