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

Questions?

http://www.michigan.gov/recordsmanagement

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