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Document ManagementDocument Management
Donald B. Schewe, CRMDonald B. Schewe, CRM
What is Covered?What is Covered?
• The Problems
What is Covered?What is Covered?
• The Problems
• Records Management
What is Covered?What is Covered?
• The Problems
• Records Management
• Document Management
What is Covered?What is Covered?
• The Problems
• Records Management
• Document Management
• Electronic Documents
What is Covered?What is Covered?
• The Problems
• Records Management
• Document Management
• Electronic Documents
• Policy and Procedure
The ProblemsThe Problems
• We have a lot of information—and it’s growing
The ProblemsThe Problems
• We have a lot of information—and it’s growing
Man’s knowledge doubled from 1 AD to1500 AD
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
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
Man’s knowledge doubled from 1750 AD to 1850 AD
The ProblemsThe Problems
• We have a lot of information—and it’s growing
Man’s knowledge doubled from 1850 AD to1900 AD
The ProblemsThe Problems
• We have a lot of information—and it’s growing
Man’s knowledge doubled from 1850 AD to1900 AD
Man’s knowledge doubled from 1900 AD to 1930 AD
The ProblemsThe Problems
• 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
The ProblemsThe Problems
• We have a lot of information—and it’s growing
Man’s knowledge doubled from 1950 AD to1966 AD
Man’s knowledge doubled from 1966 AD to 1981 AD
The ProblemsThe Problems
• We have a lot of information—and it’s growing
Man’s knowledge doubled from 1950 AD to1966 AD
Man’s knowledge doubled from 1966 AD to 1981 AD
Man’s knowledge doubled from 1981 AD to 1995 AD
The ProblemsThe Problems
• We have a lot of information—and it’s growing
Man’s knowledge doubled from 1995 AD to 2006 AD
The ProblemsThe Problems
• We have a lot of recorded information—in paper or other media.
George Washington—A wagonload and a half
The ProblemsThe Problems
• 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
The ProblemsThe Problems
• We have a lot of recorded information—in paper or other media.
George Washington—A wagonload and a half
Herbert Hoover—400,000 pages
Franklin D. Roosevelt—2,500,000 pages
The ProblemsThe Problems
• We have a lot of recorded information—in paper or other media.
George Washington—A wagonload and a half
Herbert Hoover—400,000 pages
Franklin D. Roosevelt—2,500,000 pages
Jimmy Carter—26,000,000 pages
The ProblemsThe Problems
• We have a lot of recorded information—in paper or other media.
Bill Clinton—42,000,000 pages
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Photographs
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Photographs
Engineering Drawings
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Photographs
Engineering Drawings
Maps and Plats
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Photographs
Engineering Drawings
Maps and Plats
Non-standard sizes (larger or smaller)
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Photographs
Engineering Drawings
Maps and Plats
Non-standard sizes (larger or smaller)
Motion Picture film
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
Video Tape
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
Video Tape
Audio Tape
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
Video Tape
Audio Tape
“Mag” Tape
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
voice mail
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
voice mail
instant messaging
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
Web sites
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
Web sites
electronically submitted forms/apps
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Electronically recorded information
Web sites
electronically submitted forms/apps
CDs, DVDs
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Microfilm
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Microfilm
Microfiche
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Microfilm
Microfiche
Scanned material
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Oh, and some of that electronic material is in older formats—
Word Perfect 2.0
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Oh, and some of that electronic material is in older formats—
8” floppies
The ProblemsThe Problems
• We have a lot of information in other than 8 ½ x 11 format
Oh, and some of that electronic material is in older formats—
8” floppies
3” Tape
The ProblemsThe Problems
• We have a lot of information that isn’t “Record Information.”
The ProblemsThe Problems
• We have a lot of information that isn’t “Record Information.”
• We have to comply with the Georgia Records Act.
The ProblemsThe Problems
• 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
Records ManagementRecords Management
• Began in U. S. Government following World War II
• Hoover Commission on the Improvement of Government
Records ManagementRecords Management
• Began in U. S. Government following World War II
• Hoover Commission on the Improvement of Government
• Placed in the National Archives
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)
Records ManagementRecords Management
• Developed the “Life Cycle” concept of management.
Records ManagementRecords Management
• Developed the “Life Cycle” concept of management.
• Dealt with Series of Records, not individual documents.
Records ManagementRecords Management
• 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.
Records ManagementRecords Management
• Applies to recorded information in all forms and on all media.
Records ManagementRecords Management
• Applies to recorded information in all forms and on all media.
• Generally refers to the information, not the media.
Records ManagementRecords Management
• 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.
Records ManagementRecords Management
• 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)
Records ManagementRecords Management
• 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)
Records ManagementRecords Management
• 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.
Records ManagementRecords Management
• Georgia Law: This applies to—
1. State agencies, departments, boards, bureaus, commissions, and public corporations
Records ManagementRecords Management
• Georgia Law: This applies to—
1. State agencies, departments, boards, bureaus, commissions, and public corporations
2. County and Municipal agencies and departments
Records ManagementRecords Management
• 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)
Records ManagementRecords Management
• Georgia Law: This applies to—
4. 1/3 of funding comes from a public source--O.C.G.A. 50-14-1(a)(1)(E)
Records ManagementRecords Management
• Georgia Law: This applies to—
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)
Records ManagementRecords Management
• 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)
Records ManagementRecords Management
• 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)
Document ManagementDocument Management
• Deals with individual documents, not series.
Document ManagementDocument Management
• Deals with individual documents, not series.
• Usually refers to electronic documents.
Document ManagementDocument Management
• Deals with individual documents, not series.
• Usually refers to electronic documents.
• Was the original form of information management (dating back to William the Conqueror).
Document ManagementDocument Management
• Became impractical in the early 20th Century.
Document ManagementDocument Management
• Became impractical in the early 20th Century.
• Became practical with the advent of the computer.
Document ManagementDocument Management
But—
It’s based on Records Management
Records ManagementRecords Management
The Basic Steps of Records Management:
1. The Records Inventory.
Records ManagementRecords Management
The Basic Steps of Records Management:
1. The Records Inventory.
2. Identify Record Series.
Records ManagementRecords Management
The Basic Steps of Records Management:
1. The Records Inventory.
2. Identify Record Series.
3. Determine the “Value” of each series.
Records ManagementRecords 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.
Records ManagementRecords 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.
Records ManagementRecords Management
The Basic Steps of Records Management:
6. Write a Records Retention Schedule for all information in the organization.
Records ManagementRecords Management
The Basic Steps of Records Management:
6. Write a Records Retention Schedule for all information in the organization.
7. Get the Records Retention Schedule approved by some authority.
Records ManagementRecords Management
The Basic Steps of Records Management:
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.
Records ManagementRecords Management
1. The Records Inventory:
Find all the information in your organization, regardless of type.
Records ManagementRecords Management
2. Identify Record Series:
“A group of logically related records that support a specific business or administrative operation performed by a given program unit.”
Records ManagementRecords Management
2. Identify Record Series:
Examples:
--Purchase Orders.
--Construction Contracts.
--Personnel Files.
--Traffic Tickets.
Records ManagementRecords Management
2. Identify Record Series:
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.
Records ManagementRecords Management
3. Determine the “Value” of each series.
- administrative value
Records ManagementRecords Management
3. Determine the “Value” of each series.
- administrative value
- fiscal value
Records ManagementRecords Management
3. Determine the “Value” of each series.
- administrative value
- fiscal value
- legal value
Records ManagementRecords Management
3. Determine the “Value” of each series.
- administrative value
- fiscal value
- legal value
- historical value
Records ManagementRecords Management
4. Determine the length of time each series needs to be kept.
This is an art, not a science.
Records ManagementRecords Management
4. Determine the length of time each series needs to be kept.
This is an art, not a science.
Most of the time, it is a derived estimate, not a hard and fast number.
Records ManagementRecords Management
4. Determine the length of time each series needs to be kept.
- Start with the administrative needs of the organization.
Records ManagementRecords Management
4. Determine the length of time each series needs to be kept.
- Start with the administrative needs of the organization.
- Next consider the fiscal needs of the organization.
Records ManagementRecords Management
4. Determine the length of time each series needs to be kept.
- 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.
Records ManagementRecords Management
4. Determine the length of time each series needs to be kept.
The historical needs, by law, are determined by the Georgia Department of Archives and History.
Records ManagementRecords Management
4. Determine the length of time each series needs to be kept.
The historical needs, by law, are determined by the Georgia Department of Archives and History.
But local historical societies can also be helpful.
Records ManagementRecords Management
5. Determine the “Record” Copy.
In any media, there are multiple copies of the same information in most offices.
Records ManagementRecords Management
5. Determine the “Record” Copy.
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.
Records ManagementRecords Management
5. Determine the “Record” Copy.
The “Record” copy is the one that has to be produced in a court action.
Records ManagementRecords Management
5. Determine the “Record” Copy.
The “Record” copy is the one that has to be produced in a court action.
It should be the one with the most information.
Records ManagementRecords Management
5. Determine the “Record” Copy.
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.
Records ManagementRecords Management
5. Determine the “Record” Copy.
All other copies are “Copies of Convenience”
Records ManagementRecords Management
5. Determine 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.
Records ManagementRecords Management
6. Write a Records Retention Schedule for all information in the organization.
- Based on series
Records ManagementRecords Management
6. Write a Records Retention Schedule for all information in the organization.
- Based on series
- Organized by Department or other small unit
Records ManagementRecords Management
6. Write a Records Retention Schedule for all information in the organization.
- Based on series
- Organized by Department or other small unit
- There are some files common to all departments; put them in a Common Schedule
Records ManagementRecords Management
6. Write a Records Retention Schedule for all information in the organization.
- Include how long material is to be kept in each stage of the life cycle
Records ManagementRecords Management
6. Write a Records Retention Schedule for all information in the organization.
- Include how long material is to be kept in each stage of the life cycle
- Indicate the ultimate disposition of the information
Records ManagementRecords Management
6. Write a Records Retention Schedule for all information in the organization.
- 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
Records ManagementRecords Management
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.
Records ManagementRecords Management
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.
Records ManagementRecords Management
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.
Records ManagementRecords Management
7. Get the Records Retention Schedule approved by some authority.
Your board, commission, whatever.
Records ManagementRecords Management
7. Get the Records Retention Schedule approved by some authority.
Your board, commission, whatever.
As high as possible.
Records ManagementRecords Management
7. Get the Records Retention Schedule approved by some authority.
Your board, commission, whatever.
As high as possible.
This is your protection from prosecution for “spoiliation”.
Records ManagementRecords Management
8. Apply the Records Retention Schedule.
To all recorded information, in whatever form or media.
Records ManagementRecords Management
8. Apply the Records Retention Schedule.
To all recorded information, in whatever form or media.
From now on, and backwards.
Records ManagementRecords Management
8. Apply the Records Retention Schedule.
To all recorded information, in whatever form or media.
From now on, and backwards.
Audit to make sure it is being done.
Records ManagementRecords Management
All Georgia government agencies have a “model” Records Retention Schedule
Done by the Georgia Department of Archives and History.
Records ManagementRecords Management
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
Records ManagementRecords Management
For the past 20 years, paper records have been controlled by Records Management software.
Records ManagementRecords Management
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.
Records ManagementRecords Management
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.
Records ManagementRecords Management
It tells the Records Manager when the file/box is eligible for destruction.
Records ManagementRecords Management
It tells the Records Manager when the file/box is eligible for destruction.
It acts as an elemental finding aid for retrieving information.
Records ManagementRecords Management
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 ManagementDocument Management
Document Management is an extension of Records Management
Document ManagementDocument Management
Document Management is an extension of Records Management
Every document within a series has the same retention period.
Document ManagementDocument Management
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.
Document ManagementDocument Management
You do not have to turn electronic documents into paper to manage them.
Document ManagementDocument Management
You do not have to turn electronic documents into paper to manage them.
They can be managed individually by Electronic Document Management Software (EDMS).
Document ManagementDocument Management
EDMS software works by assigning a retention period to all electronic documents, usually at the moment of first filing.
Document ManagementDocument Management
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.
Document ManagementDocument Management
EDMS and Records Management Software developed independently, usually by different companies.
Document ManagementDocument Management
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.
Document ManagementDocument Management
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.
Document ManagementDocument Management
Recently, several companies have begun to develop start-from-scratch software that will manage both paper and electronic information.
Document ManagementDocument Management
DoD is the U.S. Government agency that is assigned to test RMS and EDMS. They have a standard:
DoD Standard 5015.2
Document ManagementDocument Management
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.
Electronic DocumentsElectronic Documents
Have the same legal standing as paper.
Must have the same retention period as the same document in paper would have.
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
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
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
- media deterioration
Electronic DocumentsElectronic Documents
Should be maintained in electronic format if at all possible.
Electronic DocumentsElectronic Documents
A SPECIAL WORD ABOUT E-MAIL
Electronic DocumentsElectronic Documents
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.
Electronic DocumentsElectronic Documents
A SPECIAL WORD ABOUT E-MAIL
A huge volume of e-mail is “junque”
Electronic DocumentsElectronic Documents
A SPECIAL WORD ABOUT E-MAIL
A huge volume of e-mail is “junque”
People often send out the same e-mail to multiple recipients.
Electronic DocumentsElectronic Documents
A SPECIAL WORD ABOUT E-MAIL
E-mail “threads” can be quite cumbersome.
Electronic DocumentsElectronic Documents
Make sure you understand how any EDMS you are considering stores documents.
Single Copy
Electronic DocumentsElectronic Documents
Make sure you understand how any EDMS you are considering stores documents.
Single Copy
Replicated Copy
Electronic DocumentsElectronic Documents
Make sure you understand how any EDMS you are considering stores documents.
Single Copy
Replicated Copy
Federated Storage
Policy and ProcedurePolicy and Procedure
Records Retention Schedule—approved and applied.
Policy and ProcedurePolicy and Procedure
Records Retention Schedule—approved and applied.
Audit the practice.
Policy and ProcedurePolicy and Procedure
Records Retention Schedule—approved and applied.
Audit the practice.
Records Retention Policy.
Policy and ProcedurePolicy and Procedure
Records Retention Schedule—approved and applied.
Audit the practice.
Records Retention Policy.
(work with Records Manager)
Policy and ProcedurePolicy and Procedure
The Georgia Records Act provides that each agency appoint an individual responsible for the records of that agency.
Policy and ProcedurePolicy and Procedure
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.
Policy and ProcedurePolicy and Procedure
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???
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