Document Management Donald B. Schewe, CRM. What is Covered? The Problems.

Document ManagementDocument Management

Donald B. Schewe, CRMDonald B. Schewe, CRM

What is Covered?What is Covered?

• The Problems

• Records Management

• The Problems

• Document Management

• The Problems

• Electronic Documents

• The Problems

• Electronic Documents

• Policy and Procedure

The ProblemsThe Problems

• We have a lot of information—and it’s growing

Man’s knowledge doubled from 1 AD to1500 AD

Man’s knowledge doubled from 1500 AD to 1750 AD

• We have a lot of information—and it’s growingMan’s knowledge doubled from 1850 AD to1900 ADMan’s knowledge doubled from 1900 AD to 1930 ADMan’s knowledge doubled from 1930 AD to 1950 AD

• We have a lot of recorded information—in paper or other media.

George Washington—A wagonload and a half

Herbert Hoover—1,000,000 pages

Herbert Hoover—400,000 pages

Franklin D. Roosevelt—2,500,000 pages

Herbert Hoover—400,000 pages

Franklin D. Roosevelt—2,500,000 pages

Jimmy Carter—26,000,000 pages

Bill Clinton—42,000,000 pages

• We have a lot of information in other than 8 ½ x 11 format

Photographs

Engineering Drawings

Photographs

Maps and Plats

Photographs

Maps and Plats

Non-standard sizes (larger or smaller)

Photographs

Maps and Plats

Non-standard sizes (larger or smaller)

Motion Picture film

Electronically recorded information

Video Tape

Audio Tape

Video Tape

Audio Tape

“Mag” Tape

e-mail

voice mail

e-mail

voice mail

instant messaging

Web sites

electronically submitted forms/apps

Web sites

electronically submitted forms/apps

CDs, DVDs

Microfilm

Microfiche

Microfilm

Microfiche

Scanned material

Oh, and some of that electronic material is in older formats—

Word Perfect 2.0

8” floppies

3” Tape

• We have a lot of information that isn’t “Record Information.”

• We have to comply with the Georgia Records Act.

• We have to comply with the Georgia Open Records Act.

Records ManagementRecords Management

• Began in U. S. Government following World War II

• Hoover Commission on the Improvement of Government

• Placed in the National Archives

• Now generally “Records and Information Management” (RIM)

• Developed the “Life Cycle” concept of management.

• Dealt with Series of Records, not individual documents.

• Many different definitions—Mine:

Keep what you need to keep for only as long as you need to keep it, and get rid of what you can get rid of as soon as you can get rid of it.

• Applies to recorded information in all forms and on all media.

• Generally refers to the information, not the media.

• Is interested in types of records, not individual pieces of paper.

• Georgia Law: A Record is. . .

““. . .all documents, papers, letters, maps, . . .all documents, papers, letters, maps, books, tapes, photographs, computer books, tapes, photographs, computer based or generated information, or similar based or generated information, or similar material prepared and maintained or material prepared and maintained or received in the course of the operation of a received in the course of the operation of a public office or agency.”public office or agency.”

--O.C.G.A. 50-18-70(a)--O.C.G.A. 50-18-70(a)

• Georgia Law: A Record is. . .Regardless of physical format, (if) made or

received in performance of public function. --O.C.G.A. 50-18-91(5)

• Georgia Law: A Record is. . .Regardless of physical format, (if) made or

received in performance of public function. --O.C.G.A. 50-18-91(5)

Paid for with public funds in any way, shape, or form.

• Georgia Law: This applies to—

1. State agencies, departments, boards, bureaus, commissions, and public corporations

2. County and Municipal agencies and departments

3. School Districts--O.C.G.A. 50-14-1(a)(1)(A-D)

4. 1/3 of funding comes from a public source--O.C.G.A. 50-14-1(a)(1)(E)

5. “. . . a private person, firm, corporation, or other private entity in the performance of a service or function for or on behalf of an agency. . .”

--O.C.G.A. 50-18-70(a)

• Georgia Law: This applies to—• 1/3 of funding comes from a public source

--O.C.G.A. 50-14-1(a)(1)(E)“. . . Any association, corporation, or other similar

organization which:1. Has a membership or ownership body composed

of counties, municipal corporations, or school districts, or 2. Derives a substantial portion of its general operating budget from payments from such political subdivisions.”

--O.C.G.A. 50-18-70(a)

• Georgia Open Records Act: What is Open?

“All public records of an agency as defined in subsection (a), except those which by order of a court of this state or by law are prohibited or specifically exempted from being open . . . shall be open.”

--O.C.G.A. 50-18-70(b)

• Deals with individual documents, not series.

• Usually refers to electronic documents.

• Was the original form of information management (dating back to William the Conqueror).

• Became impractical in the early 20th Century.

• Became practical with the advent of the computer.

But—

It’s based on Records Management

The Basic Steps of Records Management:

1. The Records Inventory.

2. Identify Record Series.

3. Determine the “Value” of each series.

4. Determine the length of time each series needs to be kept.

5. Determine the “Record” Copy.

6. Write a Records Retention Schedule for all information in the organization.

7. Get the Records Retention Schedule approved by some authority.

8. Apply the Records Retention Schedule.

1. The Records Inventory:

Find all the information in your organization, regardless of type.

2. Identify Record Series:

“A group of logically related records that support a specific business or administrative operation performed by a given program unit.”

Examples:

--Purchase Orders.

--Construction Contracts.

--Personnel Files.

--Traffic Tickets.

Once we have identified a Record Series, all items within that series will be treated the same way—kept for the same length of time and terminated (destroyed or sent to archives) the same.

Don’s Pet Peeve:Don’s Pet Peeve:

Archive: (n) a repository for permanently valuable information; (v) use as a verb shows the user to be an ignorant sub-human species worthy only of contempt.

- administrative value

- fiscal value

- legal value

- fiscal value

- legal value

- historical value

This is an art, not a science.

Most of the time, it is a derived estimate, not a hard and fast number.

- Start with the administrative needs of the organization.

- Next consider the fiscal needs of the organization.

- The legal department will have to supply the legal needs.

The historical needs, by law, are determined by the Georgia Department of Archives and History.

But local historical societies can also be helpful.

In any media, there are multiple copies of the same information in most offices.

We don’t need all copies for the length of time required—just one.

The “Record” copy is the one that has to be produced in a court action.

It should be the one with the most information.

You can determine (in the Records Retention Schedule) which is the Record Copy.

All other copies are “Copies of Convenience”

You MUST make sure copies of convenience are not kept longer than the Record copy.

- Based on series

- Organized by Department or other small unit

- Based on series

- Organized by Department or other small unit

- There are some files common to all departments; put them in a Common Schedule

- Include how long material is to be kept in each stage of the life cycle

- Indicate the ultimate disposition of the information

- Include information in all media, either in one Schedule or separate Schedules

Sample Retention Schedule Entry:

Legal Department:

Contracts: Record copy of all contracts, including associated correspondence, memoranda and amendments. Maintain in office for the duration of the contract plus one year. Transfer to RHA for six years, then destroy.

Sample Retention Schedule Entry:

Finance Department:

Contracts: Convenience copy of all contracts, including associated correspondence, memoranda and amendments. Maintain in office for the duration of the contract plus one year, then destroy.

Sample Retention Schedule Entry:Common Records:Correspondence: Record Copy: If paper—

maintain in office of record for one year. Transfer to RHA for two years, then destroy. If electronic—maintain on line for one year. Transfer to near-line for two years, then destroy. Copies of Convenience—Destroy when no longer needed, but no later than two years after receipt or creation.

Your board, commission, whatever.

As high as possible.

This is your protection from prosecution for “spoiliation”.

To all recorded information, in whatever form or media.

From now on, and backwards.

Audit to make sure it is being done.

All Georgia government agencies have a “model” Records Retention Schedule

Done by the Georgia Department of Archives and History.

All Georgia government agencies have a “model” Records Retention Schedule

Done by the Georgia Department of Archives and History.

On line:www.sos.georgia.gov/archives/who_are_we/rims/retention_schedules/default.htm

For the past 20 years, paper records have been controlled by Records Management software.

Records Management software keeps track, by file/box of paper records.

It tells the Records Manager when a file/box needs to be taken out of the office and sent to a Records Holding Area.

It tells the Records Manager when the file/box is eligible for destruction.

It acts as an elemental finding aid for retrieving information.

It has functionalities such as “Legal hold” and “Shelf location.”

Document Management is an extension of Records Management

Every document within a series has the same retention period.

If you know which Record Series a document belongs to, you know its retention period.

You do not have to turn electronic documents into paper to manage them.

They can be managed individually by Electronic Document Management Software (EDMS).

EDMS software works by assigning a retention period to all electronic documents, usually at the moment of first filing.

It works “behind the scenes” using the Record Series concept and applying the Records Retention Schedule.

EDMS and Records Management Software developed independently, usually by different companies.

In the past few years, most RMS companies have been bought out by EDMS companies.

The result is mixed success.

Recently, several companies have begun to develop start-from-scratch software that will manage both paper and electronic information.

DoD is the U.S. Government agency that is assigned to test RMS and EDMS. They have a standard:

DoD Standard 5015.2

DoD is the U.S. Government agency that is assigned to test RMS and EDMS. They have a standard:

DoD Standard 5015.2

The results of their tests are available at the DoD website:

jitc.fhu.disa.mil/recmgt/standards.html

Electronic DocumentsElectronic Documents

Have the same legal standing as paper.

Must have the same retention period as the same document in paper would have.

Are prone to preservation problems:

- forward migration

- hardware/software obsolescence

- forward migration

- hardware/software obsolescence

- media deterioration

Should be maintained in electronic format if at all possible.

A SPECIAL WORD ABOUT E-MAIL

E-mail needs to be handled just like the same message written out and sent through the U. S. Post office.

A huge volume of e-mail is “junque”

People often send out the same e-mail to multiple recipients.

E-mail “threads” can be quite cumbersome.

Make sure you understand how any EDMS you are considering stores documents.

Single Copy

Replicated Copy

Single Copy

Replicated Copy

Federated Storage

Policy and ProcedurePolicy and Procedure

Records Retention Schedule—approved and applied.

Audit the practice.

Records Retention Policy.

Audit the practice.

Records Retention Policy.

(work with Records Manager)

The Georgia Records Act provides that each agency appoint an individual responsible for the records of that agency.

Usually these people focus on paper records.

If you find that person and work with them, they can make your life easy.

Donald B. Schewe, CRMDonald B. Schewe, CRM

dschewe@mindspring.comdschewe@mindspring.com

Questions???Questions???

Document Management Donald B. Schewe, CRM. What is Covered? The Problems.

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