boca raton, fl - may 4, 20051 “i’ve run out of space: now what do i do?” john lazuk certified...

Boca Raton, FL - May 4, 2005 1

“I’ve Run Out Of Space: Now What Do I Do?”

John LazukCertified Records Manager

2005 FRMA Annual Conference


Presentation Agenda

Presentation considers the problem of too many records and too little room

• Part 1 – Overview of records center operations• Part 2 – Suggested steps

– 1.) Evaluate your current situation– 2.) Evaluate options– 3.) Summarize results– 4.) Sell to top management– 5.) Implement your program


Presentation Agenda

Steps 1 through 4 to be done now• Needs assessment to evaluate the situation

• Records survey or inventory to determine volumes• Inspecting current storage areas• Return on investment (ROI) study to include other

options– Outsourcing storage– Technology (microfilming, imaging)

• “Selling” your solution to top management


Presentation Agenda

Step 5 to implement into the future• Make solution part of a comprehensive program

including– Record manual containing records center procedures– Staff training– Auditing use


Speaker Background

John Lazuk, Certified Records Manager (CRM)• Over 20 years in developing programs for private,

public, and non-profit organizations– Local Government Archivist for Oregon

• Advisor to all local governments in state

– Regional Advisory Officer for New York• Responsible for 1,200 agencies in 18 counties

• Contact by phone at 678-475-9008


Part 1. Overview

Records center basics• Situation today

• Facets to consider when creating and maintaining inactive records areas


Situation Today

More records created and stored today than ever• Increasing role of government

– More services and programs, more records needed to support

• Technology– While records are being created and kept

electronically, the “paperless office” is still a dream– Easier today than ever to produce paper records


Situation Today

Government facilities often not designed to accommodate the increasing volume of records

• Particularly true for semi-active and inactive records– Records used once a month or less

• Leads to misuse of active office space– Records stored under desks, in closets, even on stairs

• Creation of storage areas in basements, attics, outbuildings, jail cells, fire stations, abandoned buildings, and other available places


Situation Today

Often little thought is put into creating or renovating storage areas and facilities

• No enough room

• Records cannot be accessed easily

• Storage environment may damage records

• Stored with equipment or supplies– Even hazardous materials

• Lack of proper security


Records Center

Records center best solution to problem• A centralized area used for the storing and servicing

of semi-active or inactive records whose reference rate does not warrant them being stored in active office space

• Cost effective as location is often in a less costly area to maintain and uses equipment that maximizes storage space and ease of access to the records


Records Center

Records center usually for short-term records• May include an archival records area containing

– Minute books and other permanent or historical paper records

– Photographs– Microfilm– Magnetic tape or disks

• Usually in a specially designed area or vault– Stricter environmental controls as opposed to areas

housing short-term records


Records Center

Consider the following when developing• Location• Structure• Layout• Equipment• Upkeep services• Staffing


Records Center

Reference help• State of Florida guidelines

– http://dlis.dos.state.fl.us/recordsmgmt/publications.cfm• Other states

– http://iarchives.nysed.gov/Publications/pubOrderServlet?category=ServicesGovRecs

• Professional organizations– NAGARA– ARMA


Records Center

Reference help • American National Standards Institute (ANSI)• National Fire Protection Association (NFPA)

– ANSI/NFPA 232-2000 – Standard for the Protection of Records

– ANSI/NFPA 231 – 1995 – General Storage– ANSI/NFPA 232A-1995 – Fire Protection for Archives and

Records Center– ANSI/NFPA 220-1993 – Types of Building Construction– ANSI/NFPA 13 – 1996 – Installation of Sprinkler Systems


Records Center

Reference help • New construction

– International Building Code (IBC-2000)• Specific record media storage standards covered by

ANSI in conjunction with other organizations– Microfilm– Magnetic tapes, optical disks– Reference source listing standards at

http://www.state.nj.us/state/darm/links/njac-15-3-6.html


Location

Available space at or near main offices

• Basements or attics– Generally unsuitable due to environmental conditions

• Unused rooms or spaces in the building– From closets to small rooms

• Floor load issue

• Windows and doors

• Dimensions too small to maximize use of shelving


Location

Space away from main offices• Need to be in located close enough for easy servicing

• Minimal dangers from fire, flood, and other disaster– Avoid swampy areas, flood plains, low level hurricane

zones, flight paths, pest infestation areas, industrial areas (chemical, utility, and hazardous material plants)

• Close to fire, rescue, and police services


Location

Off-site considerations• Area for future growth if needed

• Space for loading and maneuvering of commercial size trucks or vans to transport records

• Parking for employees and visitors, including handicapped parking

• Single use structure best


Structure

Shared structures a problem depending on use• Offices are better than garages, storage areas

– Storage of highly combustible, inflammable, or toxic substances should not be permitted

• Four hour fire resistive fire walls– May not be enough

• Main entrance to shared space separate from the records center area for security reasons


Structure

Structure options• Renovate an existing structure you own

• Lease or purchase a facility

• Build a facility

• In each case bring in a qualified architect/structural engineer to help– Seek advise from others who have gone through the

process


Structure

Florida factors• Humidity

• Pests

• Violent weather– Protection against lighting– Minimum window exposure– Above ground storage


Structure

Permanent type construction is essential• Concrete block with brick façade or other non-

combustible materials

• Single story with concrete floor with a minimum floor load of 300 lbs per square foot– More if storing microfilm, less if none or low impact

weigh storage shelves in the area

• Constructed with non-combustible materials

• Well insulated and sealed


Structure

Roof construction• Sealed with good drainage

– Flat roofs kept clean and drains cleared– Roof turbines and fans to be sealed around edges

• Non-combustible and heat resistant– Metal roofs can be a problem


Structure

Interior• Fire resistive fire walls separating areas• All openings protected by fire doors• No ducts passing through fire walls• No water, steam, or other pipes other than sprinkler in

the records areas• Building columns two hour resistive from the floor to

the point they meet the roof framing system• Minimal openings (windows, doors)


Structure

Fire protection• Automatic sprinklers

– Preactive dry pipe systems are recommended (leak factor with wet systems)

• Wall mounted fire houses (for fire department use)• High pressure or dry powder fire extinguishers• Fire and smoke detectors throughout the building

– Smoke detector best for records areas– Photoelectric (smoke) and ionization (combustible

products) detection


Layout

Building areas• Storage (dimensions)

– Environmentally-controlled area or vault

• Staging (for shipping and receiving)• Disposal

– Shredding operations and/or pickup• Loading (preferable a dock)• Administrative/office

– Viewing– Other work (imaging or microfilming)


Layout

Storage area• Dimensions

– Rectangular is best for long shelving system– Should be 30-40% full after all current records shelved

• Ceiling height (determines shelving plans)• Support column locations

– Seek areas along load bearing walls• Floor load

– Study must be done if area not on first floor and/or in older, non-industrial use structure


Layout

Storage area• Limit water and other pipes

– Heat ducts can be a problem

• Walls, ceiling, and door materials and treatments– Insulation, vapor locking and water proofing

• Forced air ventilating, wall and roof turbines or fans• Look for mold, water stains on walls or ceiling

– Openings for easy moving of boxes, equipment– Eliminate windows on outside facing walls

• Environmental and security reasons


Layout

Environmentally controlled storage area– Temperature range of 65 to 70 degrees Fahrenheit– Humidity 45 to 55 percent– Key is to limit fluctuations to a few degrees, percent

• Holdings– Microfilm (55-68 degrees, 30-40%)

• Do not store silver halide and diazo copies in same area• Keep away from other media types due to gases

– Computer tapes and disks (68 degrees, 30-40%)– Archival paper records (65-70 degrees, 40-50%)


Layout

Environmentally controls• Use devices to measure temperature and humidity

– Hygrothermographs automatically chart on graph– Physchrometers and thermometers must be read

• Air conditioning system should have filters to remove dirt, particles, and gases– Do not use electrostatic filters due to gases

• De-humidifiers• Pest control measures and regular dusting & cleaning• Use incandescent rather than florescent lighting


Layout

Vault area• Seek design and construction from a licensed

engineer or architect familiar with installation– Do not rely exclusively on vault supplier

• Reference– Standards for Protection of Records (#232 from National

Fire Protection Association)– Chapter 1B-26, Florida Administrative Code


Layout

Staging areas• Areas to place records that have been retrieved for

shipping out and those sent back to refile– Open– Secure– Adjacent to the storage area– Adjacent to loading dock– Separate outgoing and incoming areas important

• This is where refiling problems begin


Layout

Disposal area• Separate from staging areas to avoid records being

destroyed by mistake• Shred areas

– Well-ventilated and secure– Gets messy so wall off if possible– Staging areas for records to be shredded and to store

materials once shredded• Schedule regular pickups - don’t store unprotected

outside of facility


Layout

Loading dock or area• Small or low volume centers may need only an

unloading area or platform – Above ground, preferably 2 or 3 ft– Direct entry into building– Overhead weather protection

• Larger volume centers need loading dock to accommodate commercial freight vehicles– Dock 3.5 ft in height

• Should be adjacent to staging areas


Layout

Administrative/office areas• Staff areas

– Room for desks, equipment– Wired and environmentally-controlled– Rest rooms, break rooms, water fountains, etc.– Meet ADA requirements for accessibility

• Viewing room– Large enough for table, chairs, room for boxes

• Other work (imaging or microfilming)


Layout

Security• Limit direct access to storage areas from outside as

much as practical– A single door to administrative areas is best– Consider walling off staging from storage areas– No direct doorway into storage area from outside except for

fire doors

• Intrusion alarm all entrances including windows– Set facility alarm at opening and closing


Equipment

Storage work area• Ladders• Carts• Pallet jacks• Forklifts and pickers (large systems)• Bar code scanners (if system implemented)• Tables• Delivery vehicle• Shelving/decking


Equipment

Minimum shelving specifications• Heavy duty steel - 18 gauge or lower

– The lower the gauge, the stronger the shelving– Consider the number of boxes you plan to store in each

section• Dimensions 42” Wide, 32” deep, 24” height for each

section – 3 boxes across, 2 deep, 2 high– Height of overall units vary with area– Keep at least 18” from sprinkler heads


Equipment

Shelving• Keep away from wooden decking

– Buckles under weight– Picks of moisture where humidity high– Omits gases over time as wood decomposes– May aid in destroying records in case of fire

• Light-toned best to optimize lighting– Powder-coated or baked enamel over painted


Equipment

Shelving• Long rows of shelving is generally more cost-effective

than a greater number of short ones– Add on units (3 sides) to end units (4 sides) are usually

less expensive

• Broken versus box-welded flanges– Flange refers to the outer four edges of the shelf– Box welded are stronger, but more expensive


Equipment

Shelving considerations• Install lighting to run perpendicular to the line of

shelving or vice versa

• Shelving should run parallel to the direction of airflow

• Leave a few inches of space between the shelving and the wall to allow for circulation

• Space shelves 36” apart (ADA requirement)

• Don’t locate under overhead water pipes


Equipment

Storage box specifications Interior dimensions 12W x 15L x 10H Two hundred (200) pound, C flute Die cut box (for assembly) Attached lid with one piece construction preferable, roll

over scores on one length panel for uni-box construction. For a box with a separate lid, the lid should be two hundred (200) pound, B flute with roll over scores

Double walled on both width and bottom panels, single wall length


Equipment

Records center software • Storage and tracking control

– May include bar coding shelves, boxes, and/or files• Request processing• Destruction notification• Security and access features• Vendor-supplied support, maintenance, training

– “Off-the-shelf” rather than customized

• Ease of use


Equipment

Office areas• Desks and tables• Chairs• Phones and faxes• Computers• Software

• Records center software for storage control, including bar coding shelves, boxes, and/or files

• Work (e-mail, office suites (Microsoft, etc), internet


Services

Facility upkeep• Pest control• Cleaning• Mail• Destruction• Office supplies• Break room• Electrical, facility, and general repair


Staffing

Duties and responsibilities to cover• Storing, retrievals, and refiling of boxes and files• Data entry into system to record transactions• Charge back or other billing• Delivery and pickup• General maintenance and administration of area


Part 2: Action Steps

Consider these steps1.) Needs assessment

– Where you are now

2.) Evaluate options3.) Summarize results

– Include ROI study

4.) Sell to implement5.) Implement your program


Step 1. Needs Assessment

Needs assessment to study your current situation• Can be formal or informal

– Formal examines all facets of current situation• More time consuming, costly

– Informal provides general overview• Less detailed - often leads to a more detailed study


Needs Assessment

Return on investment (RIO) component• Start collecting information now to help determine

your cost per box or cubic foot based on the later options you chose– Extend costs at least 5 years in future, at least 10 years if

you are considering a capital project (creation or renovating a facility)

– Consider keeping operations in-house versus out-sourcing some or all versus technology some or all


Needs Assessment

Sections• Analysis of records volume and growth

– Use results from a recent records survey or inventory

• Inspection of current storage areas– Physical conditions

– Space to meet future needs based on records growth

– Accessibility and service requirements

• Summary explaining what is working and what is not


Evaluate Your Records

Questions to ask• What records are currently being sent to storage areas

– What is the rate of creation in offices• How are records being created

– Are they copies of records kept electronically or in another way

• How long do they need to be kept– Do they need to be kept under the retention schedule– Are these the “official” or “record” copy of the record or

is the record kept elsewhere in the organization



Questions to ask• Who uses the records and how frequently

– A candidate for off-site storage if accessed less than once a month

– Frequently updated files are poor candidates for storage• Is it a vital or permanent record

– Are special security or storage conditions required• Do you understand current procedures and forms

– What would you do to change it



Life Cycle concept helps in analyzing a record• Creation - information created or received for a

particular business purpose

• Active - kept usually by the originator for the time period needed to meet that purpose

• Inactive - stored for future use but usually not accessed more than once a month

• Disposition - may be kept or destroyed



Bureau of Archives and Records Management (BARM) to set retentions for local agencies

• Agency web site is

– http://dlis.dos.state.fl.us/barm/

• Links to state and local agency schedules at:

http://dlis.dos.state.fl.us/recordsmgmt/gen_records_schedules.cfm



Determine if the retention schedule is being used• Review your storage holdings to determine if records are

being sent with proper retention periods– Too often records simply sent to storage with minimal

descriptions

– Some sent after allowed destruction date

• Do the holdings include non-record material– Limit storage to only official records



Non-records include• Reference Publications

• Work and personal reference files

• Copies of records kept elsewhere

• Blank forms

• Office supplies

• Personal items



Gather data on volume by surveying records areas • Offices and off-site records storage areas • Create site maps and floor plans for records location• May identify records by broad functional or

departmental groups and not by specific “records series” at this time– Banking, purchasing, sales & marketing project files, etc.

• Note problem areas• Analyze records storage transmittals for rate of growth

for each record series, lack of information provided, etc.



Records inventory• Most comprehensive way to identify an

organization’s records

• Prepare and fill-out form to collect specific data

• Requires a large commitment of time and resources by project staff and department contacts

– Interviews with records creators/users on how the record is used, how long kept, etc.



Project team members• Candidates

– Records creators and users– Organizational and departmental records custodians – Internal auditors– Outside consultants



Creating an inventory or survey worksheet• Information collected to include

– Records series title– Dates to determine growth– Copies or originals - to determine “record copy” and

control duplication– Frequency sent to off-site storage

• Is the retention provided when sent



Completing inventory sheets• Project workers go around areas and collect

information by examining files or interviewing records creators/users

• Give sheets to records users to fill out



Records questionnaire instead of inventory form• List records known to be in the area or department

– Taken from records retention schedule or current records storage listings

– Column for frequency– User checks off those records being sent and adds

frequency• Space to write note on concerns or problems



Analyze data once completed• Compare ratio of records in offices to storage area

– Particularly large records series– Period of time kept in office compared to need

• Use of retention schedule– Are records being sent to storage with less than a year

to go before they are slated to be destroyed• Projected growth

– Amounts being sent by each department


Inspect Current Storage Areas

What to look for• Ease of access• Sufficient capacity for short and long term needs• Location in structure

– Basement, upper floors, attic• Temperature and humidity• Fire-resistant• Security• Can it be improved cost-effectively


Examining Options

Reasons for outsourcing storage• Rising in-house storage costs

• Need to allocate space currently used for records storage for other purposes

• Reallocating staff time currently dedicated to records storage such as processing requests, retrieving and refiling, and delivering records

• Attempt to improve service levels

• Reduce staffing allocated in-house operations



What to look for• Signs of water damage, mold• Type of lighting• Floor load• Windows and doors• Water pipes and heat ducts• Dust accumulation



Need to determine if space is adequate• Estimated amount from inventory/survey

– Account for growth and destruction rates• Space dimensions of room or space

– Include ceiling height, number of doors

• Shelving– Current capacity– Arrangement in space– Capacity if different type of shelving used


Needs Assessment Summary

Results of records survey and inspections• Future growth

• Adequacy of current spaces to handle volume

• What works or can be easily fixed– Better use of retention schedule and new procedures

• What is not working and will cost money– Storage areas physical conditions, security, ease of use,

areas scattered and not centralized, lack of control, etc.


Break!

Take 10 and see you back here!


Step 2. Examine Options

Return on investment study• Cost to renovate new areas• Cost to create new areas• Cost of options

– Outsource storage to a commercial firm– Technology

• Include hybrid solutions– Splitting storage between commercial and own facilities

should be approached carefully to integrate systems


Examine Options

Reasons for keeping in-house storage• Frequent or high retrieval rates• Restrictions on access or risk management

considerations– More control

• Cheaper in long-term– Low cost storage space available– Staffing not an issue

• Poor experience with previous commercial providers


Outsourcing

Considerations and questions• Location

– Proximity to offices

– Records stored in one or multiple locations

• Facilities condition– On-site inspection

– Include film, magnetic tape, archival records storage areas

• Security measures– Facilities (fire prevention, alarm system, visitor access)

– Employee screening


Outsourcing

Considerations and questions• Technology

– Storage areas (bar coding now the norm)– Internet access to information

• Searching

• Report writing

• Account and item history

– Billing• Handle department charge backs if needed


Outsourcing

Considerations and questions• Specific services required

– Data entry by department or only by provider– Retrieval by box, file, or both

• Tracked by bar code

– Delivery schedule• Automatic or by request

• How many times daily

• Same day or next day after receiving request


Outsourcing

Considerations and questions• Delivery to central location or directly to person placing

order– Remember to make arrangement for their personnel

having access to your offices

• Disaster recovery measures– Review plans in case of fire, water damage, etc.– Check own insurance as most providers value records at

$1 or $2 a box


Outsourcing

Considerations and questions• Services required

– Fax, copying, imaging– On-site viewing– Destruction– Labor for special projects– Customer service

• Overall cost now and into future


Outsourcing

Determine costs• Storage per box or cubic foot

– How latter determined for odd sizes

• Environmentally- controlled storage– Area or vault

– Film, tape, and paper records

– Map cabinet or other storage

• New boxes to storage– Is there a cost to input data to system


Outsourcing

Determine costs• Retrieval from storage

– Is there a cost to input request into system?– Difference for retrieving box as compared to file

• Delivery– One charge per street address or multiple based on

locations within the address– Cost per box and file delivered


Outsourcing

Determine costs• Refile

– Is there a cost to input request into system?– Cost to pickup per box and file retrieved– Cost to refile to storage per box and file

• Interfiles– Adding new files to boxes

• Open file storage– Files stored on open shelves and not in boxes


Outsourcing

Determine costs• Permanent withdrawal

– Box or file

• Destruction– Per item or by cubic foot– Per destruction method

• Account fees– Access to data– Opening and closing


Outsourcing

Determine costs• Services

– Viewing room– Fax– Copying– Imaging– Special project labor

• Could include all of above plus destruction services


Outsourcing

Request for information (RFP) basics• Draft checklists to use in an RFP currently free for

downloading on the ARMA web site– http://www.arma.org/standards/development/

standardsprogress.cfm


Outsourcing

Request for information (RFP) basics• Send out to multiple providers

– Plan to visit all finalists

• Provide estimated quantities of paper, film, tape, etc.

• Be specific about requirements– Delivery schedules, etc.

• Receive full breakdown and fee schedule– Provide hypothetical scenarios

– Don’t be swayed by cheap storage - service costs add up


Outsourcing

Request for information (RFP) basics• Contract term usually based on your requirements

– No more than 5 years

• Ask for organizational history– Do get references, but usually of limited value

• Request provider pick up costs of moving to them– Usually thrown in as incentive

• Request destruction and account closing procedures


Outsourcing

Request for information (RFP) basics• Include costs for special requests

– Same day and rush deliveries

• Include any special requirements– Security due to regulations

• Don’t be swayed by “flash and dash” presentations or size or scope of organization– Remember, they make their living by selling services


Outsourcing

Input costs in ROI study• Compare cost of like services

• Take into account intangibles such as better control internally (if true)

• Price out based on projected volumes found in needs assessment– Take into account cost escalations in provider proposals

versus long-term costs of keeping program in-house


Outsourcing

Contract• Firm up all costs - cost schedule for entire term

• Do not guarantee present or future quantities stored or services required on your part

• Write in non-performance penalties on part of provider– Database not available– Missed deliveries or pickups

• Write in language for the use of 3rd parties

• Write in language in event of sale, bankruptcy, etc.


Technology

Consider alternatives to paper storage• Microfilming

• Electronic records, including imaging

• Admissibility standards must be met


Technology

Admissibility Standards:• Federal Rules of Evidence (FRE)• State Rules of Evidence adopted by statute, state

Supreme Courts, or applicable case law• Regulatory agencies through regulation or

advisement


Admissibility

Uniform Rules of Evidence, Section 10– “An "original" of a writing or recording is the writing or

recording itself or any counterpart intended to have the same effect by a person executing or issuing it. ...If data are stored in a computer or similar device, any printout or other output readable by sight, shown to reflect the data accurately, is an "original".” (Rule 1001)

– A duplicate is admissible to the same extent as an original unless (1) a genuine question is raised as to the authenticity of the original or (2) in the circumstances it would be unfair to admit the duplicate in lieu of the original. (Rule 1003)


Admissibility

Uniform Rules of Evidence adopted by Florida– Title 7, Chapter 90.951 states: (1) "Writings" and

"recordings" include letters, words, or numbers, or their equivalent, set down by handwriting, typewriting, printing, photostating, photography, magnetic impulse, mechanical or electronic recording, or other form of data compilation, upon paper, wood, stone, recording tape, or other materials.

– (4) "Duplicate" includes: by mechanical or electronic rerecording; by chemical reproduction; or by other equivalent technique that accurately reproduces the original


Admissibility

Keys to admissibility:• Record created in the normal course of conducting

business activities– May require testimony of record creator/custodian

• Record is accurate, trustworthy, and tampering did not take place– Reliability of hardware and software by providing system

documentation and results of system testing and auditing


Admissibility

Uniform Photographic Copies of Business and Public Records As Evidence Act (UPC), 28 US Code, Section 1732 allows for destruction of original

• “Such reproduction, when satisfactorily identified, is admissible as evidence as the the original itself…whether the original is in existence or not..”

• ‘The introduction of the reproduced record does not preclude the admission of the original.”

• Florida has not adopted, but see Title 7, Chapter 92.29


Admissibility

Florida Rules of Evidence, Title VII, Chapter 90• 90.953 Admissibility of duplicates.--A duplicate is

admissible to the same extent as an original, unless: – (1) The document or writing is a negotiable instrument as

defined in s. 673.1041, a security as defined in s. 678.1021, or any other writing that evidences a right to the payment of money, is not itself a security agreement or lease, and is of a type that is transferred by delivery in the ordinary course of business with any necessary endorsement or assignment.


Admissibility

Florida Rules of Evidence, Title VII, Chapter 90

• 90.953 Admissibility of duplicates.--A duplicate is admissible to the same extent as an original, unless: – (2) A genuine question is raised about the authenticity of

the original or any other document or writing. – (3) It is unfair, under the circumstance, to admit the

duplicate in lieu of the original.


Admissibility

Title VII, Chapter 92.29 • …reproductions through electronic recordkeeping systems

made by any federal, state, county, or municipal governmental board, department or agency, in the regular course of business, of any original record, document, paper or instrument in writing or in an electronic recordkeeping system, which is, or may be, required or authorized to be made, filed, or recorded…shall in all cases and in all courts and places be admitted and received as evidence with a like force and effect as the original would be, whether the original record, document, paper, or instrument in writing or in an electronic recordkeeping system is in existence or not.


Microfilming

Microfilm paved the way as a reliable way to convert voluminous paper records into compact storage form that meet rules of evidence

• See Chapter 1B-26.0021 Florida Administrative Code for standards

• State of Florida Micrographics Handbook available on BARM web sites


Microfilming

Microfilm ROI• In-house operations versus provider

– Equipment• Camera

• Processor

– Labor• Preparation, filming, quality checks

– Production requirements• Good provider has expertise


Microfilming

Microfilm ROI• Storage

– Diazo (work copy)– Silver halide (security copy)

• Access equipment– Readers for reels/microfiche– Storage cabinets for diazo copies used in office


Electronic Records

E-records management• Seek to retain and manage as you do paper or film

– Apply Life Cycle management principles– “Electronic” file drawer concept using storage folders– Dispose using your retention policies– Be aware of storage systems that make disposal

difficult so address the issue before implementing


Electronic Records

“A world that runs on software is a dangerous place”

-Editorial, Baseline Magazine


Electronic Records

Electronic copies– Files may be duplicated on several drives, zipped floppies,

compact disks, DVDs, optical platters, backup tapes, laptops, hand helds, even off-site servers and storage devices maintained by service companies

Paper copies of electronic files may also be an issue– Iron Mountain maintains 100 million reels of magnetic

tape and 200 million boxes of paper records for customers– “It is as if the “print button was invented for Iron

Mountain’s benefit.” - Wall Street Journal


Electronic Records

Data conversion often not addressed– Usually due to new technologies being introduced that

make like easier for the user or IT department or to improve customer service (CRM software or Customer Relationship Management)

– The need to retain long-term records or data supporting these records are often not addressed in the migration

– Data is converted, such as to ASCII, to map for transference, but the record is unrecognizable because the original format is no longer being applied to the data


Electronic Records

Florida citations• Title 10, Chapter 119, Public Officer, Employees, and

Records– Chapter 1B-26.003, Florida Administrative Code, Electronic

Recordkeeping for public agencies

• Title 38, Chapter 655.91, Banking

• Title 39, Chapter 668, Electronic Commerce– Part 1 - Electronic signatures

– Part 2 - Uniform Electronic Transactions Act (UETA)


Electronic Records

Develop and maintain system documentation• Purpose and function of the system• System inputs and outputs• Organization and contents of files and records• Access and use policies• Update conditions and rules for adding, changing,

and deleting of information


Electronic Records

Maintain electronically and on paper• Narrative description of system• Physical and technical characteristics of data in

system, such as layout describing fields, description of data, and data dictionary or equivalent, including a description of relationship of data elements in the system

• Security measures implemented• E-interchange formats with other systems• Authentication measures taken for legal admissibility


Optical Imaging

Optical imaging has surpassed microfilming in popularity

• Captured on magnetic tape or disk or laser generated read-only or rewritable optical disks

• Preservation microfilming still has its place


Optical Imaging

Pros of imaging– Space savings over paper and microfilm

• Offer gigabyte storage at a cost significantly less than magnetic disk storage

– Rapid retrieval– Concurrent access– Image enhancement– Track workflow


Optical Imaging

Cons of imaging• Cost of software (including licensing), hardware,

preparation, indexing, and quality control (bad scans)– Character recognition (OCR) software may cut indexing

costs• Lack of standardization can lead to system obsolescence

– Equipment, software, file format, and storage media – In 1995, 20 standards for 6 completely different media

• No way to delete specific laser-generated images off a storage disk, only the index markers


Optical Imaging

Scanning project planning• Identify records and number of pages

– Annual amount going forward and any legacy holdings– Record characteristics (format, color, thickness, etc.)– Impacts scanner choice and storage options

• How will records be indexed and stored– Unique identifier (voucher, file, SS number)– By file or by record type– Who will do indexing (manual or by system)– Storage scheme may impact speed of access


Optical Imaging

Scanning project planning• Who needs access and when

– Restrictions on viewing due to content– Bandwidth considerations if Internet accessed– Licensing

• Who prepares for scanning– Use of fax or e-mail from remote locations

• Who scans– Equipment and capture licensing


Optical Imaging

Scanning project planning• Quality checks on scans

– Can be done in indexing in smaller applications– How will rescans be done

• Disposition of original input records– How long to keep and where

• Storage– Disaster recovery– Eventual disposition


Step 3. Summarize Results

Create analysis of each option• Extend costs at least 5 years in future, at least 10 years

if you are considering a capital project (creation or renovating a facility, buying equipment)

• Do not base solely on costs

• Consider a blend of keeping operations in-house, out-sourcing some or all, or using technology– Realize challenges of doing this


Step 4. Obtain Top Leadership Support

Develop your business case to gain top leadership support

• Implementing means– staff time– money– disruption and often a culture change– continuing commitment


Obtain Top Leadership Support

Sell and keep selling the solution to top management to succeed

• Increases access and availability to meet requests from both employees and citizens– Saves time and so $$$

• Cuts storage and equipment costs



Increases access and helps ensure records are available when needed

• Proper storage of both active and inactive records in order to easily access the information they contain

• Meet information requests in a timely fashion– Can be publicly embarrassing when this does not take

place and implies a poorly run organization or worst



Reduces storage costs• Reduces costs by keeping active records close to user,

inactive records available when needed– Less use of office and server space to store information

– Less staff time and effort required in locating and retrieving needed information if properly sent to storage

– Aids in disaster recovery and ensuring business continuity in case of fire or other problems at main office locations



Presentation techniques• Know your audience

– How will the program help meet their goal, concerns. “hot button” issues within your organization?

• Concentrate of positives, mention potential negatives– Be fact-based in your presentation and bring up

applicable events impacting the organization – Be brief and to the point – create and follow an agenda– 20 minute presentation – handout to leave behind



Emphasize• Reducing costs

– Rental or other space, office filing equipment, etc.• Allowing for better utilization of office space

– Use cost of active vs inactive square foot ratio• Increasing protection of needed records• Increasing productivity by finding needed information

quicker for both customers and internal requests– Include audits and legal challenges



Continued support crucial to success• Approves allocation of staff and other resources• Influences and provides motivation to other management

and staff to follow storage policies and procedures• Helps ensure consistency of effort throughout organization

now and into the future• Finds ways to report back successes to help keep support

– Cost savings– Meeting requests


Step 5. Implement Your Program

Tools for proper implementation• Records manual containing policies and procedures

• Staff training to make policies known

• Compliance audits to determine if training took hold and policies are being followed


Records Manual

Records manual is a “one-stop” reference tool• Text sections could include

– Records as a valuable business asset– Responsibilities for program and its scope

• Include departmental head and staff responsibilities– Office files management best practices– Off-site records storage (records center) procedures– Other records-related procedures– Retention schedule and policies appended


Staff Training

Train staff on the program• Even the most up-to-date policies and procedures

are of little value if they are not used– Staff may not know they exist– Staff may be confused by the terminology used– Staff may not care


Staff Training

Staff training• Implementation is crucial to long-term success

– Monitor use of storage areas– Send out periodic reminders, refreshers on policies

and procedures

• Sustained training key to changing behaviors– Training helps make it clear to them that records are a

priority with your organization


Staff Training

Link the training to your overall organization’s goals• Fully explain benefits and not simply state “It is the

right thing to do.”– Make it a team building exercise in explaining how the

program impacts the organization and affects staff livelihood and their futures

• Stress it is their personal responsibility make it happen


Staff Training

Training tools• Presentations, including the use of videos either

purchased commercially or created in-house• “Clean-up” days scheduled at least once a year

– Publicize the event and make it fun (food, prizes)• Job aids to assist them in the work, including posting

them to internal intranets for easy access• Periodic remainders

– An automated notification system helps here


Staff Training

Who does the training?• Records custodian or manager

• Department records contacts

• Records Committee members or their staff– Human Resources, Audits, Law personnel

• Outside consultant who knows your organization– Be sure they understand your program and the

records your organization produces


Staff Training

Conduct a pilot project before implementing your overall training program

• Link it to entire records program

• One hour presentation, including any videos

• On-line training– Tailor from products on the market– Built-in auditing function to complete course

• “Lessons learned” from pilot


Audit Use

Examine• Inactive storage areas and database

• Office areas

• May become part of your current internal auditing program


Audit Use

Monitor the use of storage policies and their effectiveness

• Identify strengths and weaknesses in the overall program– Record sent with incomplete data

– Records sent too close to destruction date or after date

• Enforce compliance by making staff aware of the importance of the records program as a whole and that they are accountable for its success


Audit Use

Results• Rate efficiency of the policies and internal

procedures on use of the records center– Active records storage– Retention schedule

• Send to your department head for distribution to other departments– Note and commend staff and areas who follow the

policies


Audit Use

Questions to ask• Audit questionnaire could include

– How often do they review their records– How often do they send records off-site– Do they have problems accessing records– How are confidential records stored– How often do they use the retention schedule– Quality of records center provider, filming, or imaging

services (if applicable)


Audit Use

Audit storage areas themselves• Boxes in right locations• Aisles and other areas clean

– Periodic dusting of boxes a good idea

• Physical conditions– Take temperature and humidity readings– Look for water stains and mold– Insects and critters

• Completeness of data in system


Audit Use

Imaging auditing• Note handling of source records into system,

including receipt, preparation, and scanning• Look for possible data or image manipulation

• Proper indexing taking place

• How are exceptions (bad scans) being handling

• What security measures are being taken

• Are the backup schedules being followed


Audit Use

Discuss findings and any problems individuals who were audited

• Create audit report listing any compliance issues and provide a plan to correct any problems– Audit trouble spots in 30 days to view changes


Summary

Five points to take home with you

1. A needs assessment is key to determining what is required

– A return on investment (ROI) helps you determine how much it will cost

2. Gain top management support

3. Look at all options and realize that one solution that not may fit all your needs

– Hybrid solutions are workable


Summary

Five points (Continued)4. Train staff to use program effectively

5. Audit for effectiveness

Remember the overall goal: – Provide the right information, at the right time, to

the right person, at the lowest cost to your program and your agency


Questions and Answers

Thank you all for coming today!

boca raton, fl - may 4, 20051 “i’ve run out of space: now what do i do?” john lazuk certified...

Documents

inactive records records

room records

paper records slide

boca raton

inactive records areas

situation records survey

increasing volume of

certified records manager