records centers: the raiders of the lost box how to avoid ... · professional/analyst – 5 develop...
Post on 19-Jul-2020
0 Views
Preview:
TRANSCRIPT
2016 NAGARA Annual Conference
RecoRds centeRs: the RaideRs of the Lost Box
how to avoid Losing the aRk
Introduction
Presenters Sam Beland, Records Analyst, State of Michigan
Andrew Noga, State Records Center Supervisor, State of Indiana
Tanya Marshall, State Archivist and Director of VSARA, State of Vermont
Craig Kelso, State Records Administrator and Division Director of SLRM, State of Texas
Records Center Operations
State of Michigan Records Management Services
Overview
Records Management Services
Record Center Operations
Records Management Services
Retention and Disposal Schedule development,
review and approval
Recordkeeping system consulting
Imaging and document management service
Education and training
Records storage services
Oversees Records Center operations
Our Customers
Executive Branch
Legislative Branch
Judicial Branch
Local Governments
February 1951State Office Building Burns for 3 Days
Damage Done
• Injured 15 firefighters
• Over 8000 cubic feet of records and books destroyed
• $3 million damage
• Top floor destroyed
Origins
1951: State Office Building Fire
1952: Records Management legislation creates RMS
1954: State Records Center opens
2008: Physically moved the State Record Center
Records Analyst Services
Departments are split between two analysts that assist the agencies directly with their records management training, questions, retention schedule maintenance and development Three analysts specialize in EDM & Imaging
implementationsAssist with the development of traditional filing,
document management, digital imaging, electronic records and micrographic systemsOversee master contracts
Analyst Volumes
Number of state employees – 45,000
Analyst working on Retention & Disposal Schedules – 2
Analyst working on EDM & Imaging implementations – 3
Number of record series in place – 11,000+
Number of agency specific retention schedules – 700+
Number of SOM general schedules – 5
Staffing
State of Michigan, RMS – 14 total staff Management – 2 (1 – Manager, 1 – Warehouse Supervisor) Professional/Analyst – 5 Develop Retention and Disposal Schedules Consult and train state & local government agencies Develop imaging & ECM systems Manage multiple SOM contracts for imaging/microfilm, off-site storage,
microfilm inspection, COM, destruction
Technical – 2 Billing, system loads and box management
Administrative – 2 Receptionist, data entry, box verification, customer issue investigation
Box Handlers – 3 Store boxes, retrieve request, re-file, purge
State Records CenterGeneral Overview
State of Michigan Records Center
Storage Options
Agency retains records for the full retention period in its offices Transfer records to the State Records Center for
limited-term storage Transfer records to the Archives of Michigan for
permanent preservationMicrofilm Imaging EDM Systems
State Records Center
Provides for the storage of Inactive records Does not generally accept Active records
Fire and theft protectionClimate control (short & long term storage) Records remain the property of creating agency Records can only be accessed by creating agency
State Records Center
Media Paper, microfilm, and prior to 2016, backup database
tapes
Charges $4/box/year; comprehensive of all services provided by
RMS Analyst Services and Records Center (retrievals, destruction, etc.)
Average Annual Transactions Destruction (boxes): 33,130 Submissions (new boxes): 24,856 Retrievals: Files = 14,413, Boxes = 9,764 Re-files/re-shelving: Files = 9,764, Boxes = 4,092
Versatile
Computer system manages Retention and Disposal Schedules, as well as boxes in the Records Center and the Archives of Michigan
Users submit and retrieve boxes and files Users are approved only by the
Records Management Officers of their department
Versatile
Boxes and files are barcoded location is always known
Boxes are linked to Retention Schedules Automatically implements retention on inactive records
Generates records disposal notices
Sending New Boxes to the Records Center
User enters the box information into Versatile through web-client RMS staff reviews data entry (limited quality
control) and creates labels for userUser receives box labels and puts them on the
boxes Box barcodes are never reprinted – too much risk
SOM Delivery Services picks up the boxes and delivers to Records Center RMS staff places box on shelf, scans label to
location and uploads information into Versatile system
Box Bar Code Labels
Box Label
Bar Code Readers
Hand Held Scanner
Docked Scanner
Ordering Records
User searches for records through Versatile web-clientUser requests box or file from box RMS staff organizes requests according to location
and retrieves items RMS staff either scans the box label or creates a
label for a file/document being pulled from box RMS staff scan label to update the Versatile system
for tracking status RMS staff packages and mails item(s) to requestor
or prepares material for a personal visit/pick-up
File Bar Code Labels
File Label
Versatile Calculates the Disposition Date
Versatile software links each box to the retention schedule via the record series selected by the user Each record series is configured with a trigger for
calculating the destruction date Triggers: CR, FY, ACT, EVT, DISP, EXP, SUP, PERM Months or years can be added to the trigger Conditional triggers are defined in record series
description for clarity Disposition codes define which series are destroyed vs.
transferred to Archives of Michigan
If retention periods change, the destruction dates on the boxes are updated automatically Quality controls are used to manage the process
Records Center Disposal
Disposal notices issued twice each year, based on retention scheduleAgency reviews and approves disposal notice prior
to destruction of records Exceptions must be justified Litigation hold Audit Investigation Retention period needs to be revised on schedule
Records are destroyed using the confidential destruction contract
Disposal
Before: RMS sends destruction notices to the Records
Management Officers (RMOs), per department, for authorization
RMOs send authorization of boxes eligible for disposal Storekeeper physically performs a quality check on all
boxes pulled from the pick-list provided by Supervisor Boxes are scanned to a virtual destruction room (for location
purposes)
Boxes wrapped and placed in destruction bay Boxes moved to Destroyed in Versatile Sent for disposal; Supervisor calls destruction vendor
once enough pallets are ready
Disposal
After: RMS keeps track of boxes approved for
destruction Once 1170 boxes are reached, a pick-list is generated Destruction room is created
Reallocate Destruction Room to match truck load size, along with setting a box type specific to the roomQA is performed electronically (much faster) Pickups are scheduled twice a week
Confidential Destruction
State of Michigan contract requirements Paper: 5/16 inch particle size Can be accomplished with pulverization or grinding Material is recycled
Film, computer hard drives and disks: 1/35 inch particle size Accomplished with grinding
Vendor Supplies locked bins for storing records until they are picked up for
destruction Each location that hosts a bin is linked to an agency’s index code for billing
Employees are bonded and have background checks Must destroy records within 24 hours of pickup Transportation and processing areas are secured Flexible scheduling for pickup of materials
Records Center Move
Summer 2007: received notification of move Spring 2008: building renovations started Building we were moving into was originally built in 1948 Building was gutted and re-fitted with over 1300 lights
which have motion sensors to reduce energy consumption Emergency lighting generator installed Updated mechanically in office area Climate control added to long-term storage area
May 2008: shelving installation 49+ miles (linear feet) of shelving 18,000+ feet of rail to protect shelving and guide new
equipment
Records Center Move
July 2008: physical move Moved just under 400,000 boxes Expanded from 84,000 square feet to 160,000 square
feet (3 buildings consolidated into 1 building) Identified approximately 50,000 boxes to be stored in the
long-term storage area Move was completed in 53 business days Continued to receive/retrieve during the entire move
October 2008: staff move 2011: consolidated and moved a 30,000 linear foot
open shelf collection into building $325,000 lease savings for the SOM
Records Center Re-design
Shelving was designed for Work Assist Vehicles (WAVs) and stockpickers Allows staff to move material utilizing pallets and mail bins Eliminated over 30 ladders
Rows expanded from 30” to 48” Aisles expanded from 6’ to 12’ Old: 1 dock with a lift New: 4 docks with dock plates Larger staging area for incoming boxes and destruction Old building had a 4’ doorway that required transfer of boxes from
pallets and mail bins to carts
New storage for rolled documents eliminated storage in large cardboard gaylords
State of Michigan Records Center Layout
Office Area Short Term Storage Area Long Term
Storage AreaMuseum
Storage Area
Open ShelfStorage Area
Records Center Storage Capacities
New shelving is 11’6’’ high (short term & long term) Shelving in the long-term area is being expanded
up to 16’9” to gain an additional 16,000 cu. ft. Total box capacity: 410,000+ Currently storing over 70 miles of boxes (side by side) Currently have approx. 75,000 in long term storage (90,000 capacity) Currently have approx. 300,000 in short term storage (320,000
capacity)
Note: also have over 78,000 rolls of microfilm in off-site storage (vendor)
Records Center Volumes
Number of items (boxes and files) retrieved per
day: 175 to 200
Number of boxes received each day: 200 to 250
Number of boxes disposed each year: 30,000
Number of boxes transferred to Archives each
year: 2000
Shelving Height 10’ High
(Old)11’6” High
(New)
Shelving Rows30” Row
(Old) 48” Row(New)
Box Access
Ladder(Old)
Stockpickerand WAV
(New)
WAV
Stockpicker
Dock Area and Access
Everything went through a 4’ door
on a cart(Old)
Large staging area with full-size
overhead doors(New)
Storage for Rolled Drawings
Cardboard Gaylord boxes
(Old)
Placed shelving off wall to create a
dead space for overhang
(New)
Long Term Storage Area Expansion
Budget
Annual budget allocation from the SOM General Fund covers: salaries, building, destruction Interagency Service Fund generates revenue from
imaging, microfilming, IRMA, TRIM, off-site film storage/inspection Records Center Operations charges no direct fees
to agency for storage, retrieval, shipping or destruction Records Management Services charges no fees for
RIM training, consulting, or retention schedule development No funding is appropriated for local government
services
Records Center Improvement
Cross-train staff! The “front of the house” can’t function without the
“back of the house” What do you do when an employee leaves?
Revise business processes regularly There is always room to improve Certain employees are assigned process revisions per year
to reach an internal goal Most employees are assigned to revise business processes
they don’t work with on a regular consistent basis
Contact Information
Sam Beland, Government Records AnalystState of Michigan
Records Management Services(517) 335-8965
BelandS2@michigan.gov
Indiana State Records Center
Indiana Archives and Records Administration
What We Do…
• A holding repository for State and County records ONLY. *no public records available
• Provide timely pick up of agency records for storage.
• Provide timely retrieval and delivery of agency records upon request.
• THE BIG ONE: MAINTAIN CONTROL of your records!
Maintain Control?
• What does that mean to an agency?
• Why does it matter?
• How is it beneficial?
• Free of charge storage of vital or critical records
• Less office clutter means better public service
• Sometimes a records is critical but is not needed. Peace of mind knowing it is secure
Secure…. And safe?
1. A gated warehouse with alarms
2. No public access
3. Records are inaccessible for the most part
4. Obscure location- Located on the east side of Indianapolis, the capital of Indiana
5. Warehouse is ALWAYS locked
Who does the work?
• Agency Director: Jim Corridan, Executive Director and State Archivist
• Section Supervisor: Andrew Noga, State Records Center Supervisor
• Staff: Lead Clerk, 2 drivers (Stores Clerk), 2 temporary contractor, low level Prisoners from local DOC faculty
What is our job?
Supervisor: Manages the faculty, vendors, reports, and overall operations of the State Records Center
Lead Clerk: Day to day task, data entry, delegation of work to drivers
Drivers: Pick up and delivery, records pulls/inventory maintenance
Temps/Prisoners: Shredding and general labor
Who Governs us?
• IARA is governed by IC 5-15-5.1 and works with county commissions of public records, governed by IC 5-15-6. The Oversight Committee on Public Records promulgates administrative rules through Title 60 of the Indiana Administrative Code.
• OCPR meets monthly, State Archivist is the Chairman of the board
How do we do it?
Equipment• 2 Box Trucks, 1 Cargo Van• 1 Turret high-lift truck• 1 Fork Truck• 1 Walkie Rider• Several Pallet jacks• Great Staff!
Records Management System• Currently in transition to
new database system• Old system: MS Access,
multiple databases for various holdings
• New System: Axaem• Retention and schedules
Used multiple tables linked by the Unique Key: Accession Number
New Database: AxaemUsed biblographic ID’s, a combination of an Agency, division, and Record Series
Commercially used: Also used by Utah, North Carolina, and Indiana
Forms, forms, and more forms!!
Main Forms• State Records Center
Transfer, SF23628• State Archives Transfer,
SF48883• Request for Record,
SF24019• Records Disposal
Notification, SF16
Purpose• Provide legal authority of
transfer or disposal• Clearly states each item
(box), the dates of records, and the records type
• Allows both agency transferring and Records Center clear path
• Most important: CONTROL
The Process
Currently, change is happening!1. Agency contact- its is the agency’s job to
begin process of records transfer2. Review- does the Record Set meet the
retention? 3. Scheduling- never easy but must be timely4. Pickup- does it match? 5. Verifying- Two (2) sets of eyeballs!
The Process
6. Data Entry- transposing information from the State Form into the records management system
7. Labeling/Shelving- All boxes must be labeled and must have a home!
8. Receipt- Agency will get all information required to access their boxes on demand
9. Maintenance- Are the boxes where the system says they are?
The Process
10.Records Retrieval- SF24019 submitted…. Location correct…. Record pulled
11. Reporting- How much demand for the agencies (see Stats Slide)
12. Disposal- Transfer to Archives? Destruction? Microfilm?
13. A New Record is Formed- All our work is its own Records Series
Other Records Center Operations
• Confidential Shredding Program• New Boxes- Approved boxes ONLY• Used Boxes- For Sale• Agency Assistance• Truck transportation• Unapproved Storage• State Archives collaboration
Statistics
Last 6 months, State Records Center Averages:
# of Record requests: 238Pull time: 1.3 daysAccessions incoming: 51Accession shelving time: 3.7
Statistics
Total records Disposal for December 2015 to June 2016
• Destruction- 4233 Cubic Feet• To Archives- 2642 Cubic Feet• Total incoming to State Records Center: 6090• Total time between initial contact and pickup:
4.5 days
Statistics
• Total Cubic Feet Available: 308,000• Total Feet Used by State Records Center:
280,843• Available Space: 27,557• Percent used: 89%• Archives Holding in RC: ~35,000
Questions
Vermont State Records CenterHow to Lose the Ark But Get It Back Again: Lessons Learned
Tanya Marshall, State Archivist & DirectorVermont State Archives & Records Administration (VSARA)
Vermont Office of the Secretary of Statetanya.marshall@sec.state.vt.us
2016 NAGARA ANNUAL CONFERENCE
Vermont State Records Center
After 100+ years of trying to establish a suitable storage facility for state records from all three branches of state government, the State Records Center (SRC) opened in 1985.
Designed for inactive records storage.
Strategically located equal distance from the State’s Montpelier and Waterbury complexes.
Housed in the same complex as the State Print Shop & State Postal.
Vermont State Records CenterRecords previously stored and managed in an old state building in downtown Montpelier by the State’s Public Records Division (Department of General Services) were relocated to this newly built warehouse facility.
But initial use of the SRC by state agencies was far less than expected.
So…The administration decided to make some critical changes to boost use.
How Vermont Lost the Ark
Administration began eliminating on-site file rooms & storage areas from most new buildings and building renovations.
Agencies start transferring semi-active and, in some cases, active record to the SRC. Interfiles and re-files become an issue.
Within a short period of time, the SRC is full and out of space even after new addition is built in the early 1990s.
How Vermont Lost the Ark
Administration began requiring microfilming for certain records upon transfer and all records in the SRC with retention requirements longer than 10 years.
Disposition orders (record schedules) shift from having actual retention requirements to having reformatting requirements.
Within a short period of time, microfilm program is backlogged as more and more records are funneled to the SRC.
How Vermont Lost the Ark
Administration provides full access to records through its Reference/ Research unless agency has asked for access to be restricted.
Day-to-day management needs are carried out by SRC staff as some records are still active or semi-active.
Agencies are dissociated from responding to public record requests for their own records or managing access. Over time, many are unaware that their records are open and accessible through the SRC.
How Vermont Lost the Ark
Administration begins offering new imaging incentives to address backlog in microfilming and demands on SRC for reference services.
CDs become the media of choice with records bypassing the SRC shelves
Problems arise with the CDs and its proprietary software
Vermont State Archives & Records Administration (VSARA)
State of the State Records Center: July 2008
State Records Center is full. Legal custody blurred & unclear. Huge volume of microfilm & CDs.
Many series with no retention requirements
Public regularly directed to “Public Records” for access.
Six Months Later: January 2009
In preparation for consolidation, Entry-Task-Verification-eXit (ETVX) models were created for all functions across the new VSARA.
VSARA records analysts & record center staff evaluate State Records Center functions & make several immediate changes.
State Records Officer Program
While required by law, records officer designations by agency & department heads were neither formal nor organized. A records officer program was established & agency and departments started designating records officers.
Personalized communications were key & still are. Annual recertification as well as regular training is managed by VSARA records analysts.
Procedures & Forms
All older State Record Center procedures & forms were updated to reflect current practices and requirements.
Over time, many new procedures & related forms have been added.
Chain of Custody
Records can only be transferred into or checked out of the State Records Center by Records Officer or an liaison appointed by the Records Officer.
All deliveries go to address on file for the records officer or liaison. Procedure requires internally tracking once received.
Records Officers & Liaisons must submit an Authorization to Access form for any records in the State Records Center that they would like serviced through VSARA’s Reference Room.
Biggest Change: Overdue for Destruction
In July 2008, there were 20,000 c.f. of records overdue for destruction in the State Records Center.
Why?
The State Records Center required sign-off by the agency to destroy the boxes after receiving notice that records were eligible for destruction.
Under the old administration, few agencies responded to disposition notification reports because those state employees who received the notice were unsure if: (1) they were authorized to approve the destruction, (2) if the records were really eligible for destruction; and/or (3) the records were in the State Records Center in the first place.
Vermont State Records Center Statistics (FY16)
Total FY16 Transactions: 34,414* Transfers: 8,599 Destroyed/Removed: 9,630 Box or File Requests: 10,600 Legal/Retention Holds: 203 Refiles: 4,613 Interfiles: 768
100,000 cubic feet | 3 FTE | 2016 Audit Under Way
*Does not include the 4,303 transactions related to archival records & the State Archives vaults
Thinking Outside of the Box
Strategies to overcome space, management & access concerns in the State Records Center are now starting to be being applied to address similar problems in enterprise (statewide) systems.
Vermont is moving towards uniform standards of practice for all state record repositories – whether paper or digital – that store records of two or more state entities & are managed by a non-custodial state entity.
State Records Centers: The Original State Server!
Thank you!
Tanya Marshall, State Archivist & DirectorVermont State Archives & Records Administration (VSARA)
Vermont Office of the Secretary of Statetanya.marshall@sec.state.vt.us
2016 NAGARA ANNUAL CONFERENCE
Texas State Records Center
Craig Kelso, CRMState Records AdministratorDirector, State and Local Records Management Division
Overview
State and Local Records Management Process change – new software purchase Process change – charge vs. no charge
NAGARA 2016 86
State and Local Records Management
Texas State Library and Archives Commission State and Local Records Management Division Records Management Assistant Unit State Records Center Imaging Services
Serve 159 state agencies and 10,000 local government business units
https://www.tsl.texas.gov/slrm
87NAGARA 2016
Records Management Assistance
Consulting Training https://www.tsl.texas.gov/slrm/training https://www.tsl.texas.gov/slrm/blog/
Retention Schedules https://www.tsl.texas.gov/slrm/recordspubs/rrs4.html https://www.tsl.texas.gov/slrm/recordspubs/localretention.html
NAGARA 2016 88
Imaging Services
Over 100 customers in mid-1990s, 2015 down to 15 regular customers
Began adding digital equipment in 2013 Full cost recovery operation since 2011 Records Center staff cross trained to run cameras as needed
NAGARA 2016 89
The State Records Center
Records Management function authorized within the State Library 1947
Moved to various locations 1947-1971 1972 State Records Center opens 1988 Expansion of SRC completed Full cost recovery operation since 2011 https://www.tsl.texas.gov/slrm/storage.html
NAGARA 2016 90
Our Customers
Store or image records for 83 state agencies Executive Branch Legislative Branch Judicial Branch Local Governments
NAGARA 2016 91
Facility
1 building Hard Copy shelves: 388,000 cubic feet Microfilm/fiche vaults: 400,000 rolls of film / Over two million fiche Digital media storage: 1,600 square feet of storage space of various
size containers 1972 section – 30 inch aisle 1988 section – 36 inch aisles
92NAGARA 2016
Records Center Layout
NAGARA 2016 93
1972
1988RC - 47,820 SQ FT
Talking Book Program 30,438 SQ FT
Vaults
Imaging - 4,000 SQ FT
Offices
RC - 36,200 SQ FT
Shelving
NAGARA 2016 94
Equipment
14 foot and 8 foot ladders Rolling carts Two-wheel dollies Two forklifts
NAGARA 2016 95
Vehicles
4 half-ton vans Box truck 22 feet 250 box capacity Lift gate
North/South run twice daily Some days 3 routes per run
NAGARA 2016 96
Records Center Services
Hardcopy, Microfilm, Microfiche, and disaster recovery tape storage
Data entry Provide all labels Circulation Pick up/delivery in Austin Scan on demand Disposition
97NAGARA 2016
Records Center Volume 5 year average
Accessions: 32,211 Circulations: 46,365 Delivery/pick up: 7,260 Destruction: 37,197 Storage: (current) 313,000 boxes 228,000 rolls of microfilm 1.8 million microfiche
NAGARA 2016 98
SLRM Staff
Administration (3) SRC Staff (11) Imaging Staff (6) RMA Unit (7) Accounting (1)
99NAGARA 2016
Tracking System
Infolinx Software Solutions, Inc. – 2015 Manages retention schedules Tracks storage and activities
for HC and MF Tracks MF production Generates invoices
NAGARA 2016 100
Business Process Redevelopment New Software System
Is not just about technology Champion(s) in Executive Office Staff training/cross training Customer expectation Flexibility Outside pressures Partial to full cost recovery by end of legislative session Budget cuts for all state agencies Private vendors added to state contract Cloud storage
NAGARA 2016 101
Business Process RedevelopmentNew Software System
However, technology is a driving force Upgrading infrastructure In-house system to Infolinx RFP Process Moved to random placement and the world as staff knew it
didn’t end Workforce considerations Workflow improvements Right system provides great
quality control
NAGARA 2016 102
Business Process Redevelopment Software Transition and Training
Be transparent Transition period planning is key Bring all stakeholders to the table Think like someone hearing about this for the first time Hands on versus instructional training
NAGARA 2016 103
Charge vs. No Charge
Texas – charge for all records center services Interagency Contracts common Sunset review process every 12 years No state income tax
Missouri – no charge for state agencies Interagency fees not common State income tax
In 2012 both state records centers held about 324,000 boxes
NAGARA 2016 104
Missouri Stats 2015
Staff: 6.5 FTE Accessions: 25,6811 Circulations: 58,611 Delivery/pick up: 7,260 Destruction: 11,615 Storage: (current) 404,419 boxes 211,000 rolls of microfilm
NAGARA 2016 105
Pros
Charge Incentives to provide better
customer service and innovate
Easier to plan for new equipment
Agency retention compliance
No Charge Agencies more likely to
comply with directives Budget process No competition
NAGARA 2016 106
Cons
Charge Budget cuts across customer
base Budget process Billing/Contract disputes Competition
Can advertise Not tied to retention schedule
Agencies open own records centers
No Charge Motivating staff Out of sight, out of mind Need strong policies and
procedures to control volume or could become active file room
Hard to get new equipment/expand
Still demanding
NAGARA 2016 107
Questions??
Craig Kelso, CRMDirector, SLRMckelso@tsl.texas.gov512-463-7610
NAGARA 2016 108
Questions from the Audience
top related