Transcript Document Management

Document Management
Donald B. Schewe, CRM
What is Covered?
• The Problems
What is Covered?
• The Problems
• Records Management
What is Covered?
• The Problems
• Records Management
• Document Management
What is Covered?
•
•
•
•
The Problems
Records Management
Document Management
Electronic Documents
What is Covered?
•
•
•
•
•
The Problems
Records Management
Document Management
Electronic Documents
Policy and Procedure
The Problems
• We have a lot of information—and it’s
growing
The Problems
•
We have a lot of information—and it’s
growing
Man’s knowledge doubled from 1 AD
to1500 AD
The 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 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 Problems
•
We have a lot of information—and it’s
growing
Man’s knowledge doubled from 1850 AD
to1900 AD
The 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 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
Man’s knowledge doubled from 1930 AD
to 1950 AD
The 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 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 Problems
•
We have a lot of information—and it’s
growing
Man’s knowledge doubled from 1995 AD
to 2006 AD
The Problems
•
We have a lot of recorded information—
in paper or other media.
George Washington—A wagonload and
a half
The 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 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 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 Problems
•
We have a lot of recorded information—
in paper or other media.
Bill Clinton—42,000,000 pages
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Photographs
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Photographs
Engineering Drawings
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Photographs
Engineering Drawings
Maps and Plats
The 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 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 Problems
•
We have a lot of information in other than
8 ½ x 11 format
Electronically recorded information
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Electronically recorded information
Video Tape
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Electronically recorded information
Video Tape
Audio Tape
The 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 Problems
•
We have a lot of information in other than
8 ½ x 11 format
Electronically recorded information
e-mail
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Electronically recorded information
e-mail
voice mail
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Electronically recorded information
e-mail
voice mail
instant messaging
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Electronically recorded information
Web sites
The 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 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 Problems
•
We have a lot of information in other than
8 ½ x 11 format
Microfilm
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Microfilm
Microfiche
The Problems
•
We have a lot of information in other than
8 ½ x 11 format
Microfilm
Microfiche
Scanned material
The 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 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 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 Problems
•
We have a lot of information that isn’t
“Record Information.”
The Problems
•
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We have a lot of information that isn’t
“Record Information.”
We have to comply with the Georgia
Records Act.
The 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 Management
• Began in U. S. Government following
World War II
Records Management
• Began in U. S. Government following
World War II
• Hoover Commission on the Improvement
of Government
Records Management
• Began in U. S. Government following
World War II
• Hoover Commission on the Improvement
of Government
• Placed in the National Archives
Records 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 Management
• Developed the “Life Cycle” concept of
management.
Records Management
• Developed the “Life Cycle” concept of
management.
• Dealt with Series of Records, not
individual documents.
Records 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 Management
• Applies to recorded information in all forms
and on all media.
Records Management
• Applies to recorded information in all forms
and on all media.
• Generally refers to the information, not the
media.
Records 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 Management
• Georgia Law: A Record is. . .
“. . .all documents, papers, letters, maps,
books, tapes, photographs, computer
based or generated information, or similar
material prepared and maintained or
received in the course of the operation of a
public office or agency.”
--O.C.G.A. 50-18-70(a)
Records 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 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 Management
• Georgia Law: This applies to—
1. State agencies, departments, boards,
bureaus, commissions, and public
corporations
Records Management
• Georgia Law: This applies to—
1. State agencies, departments, boards,
bureaus, commissions, and public
corporations
2. County and Municipal agencies and
departments
Records 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 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 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 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 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 Management
• Deals with individual documents, not
series.
Document Management
• Deals with individual documents, not
series.
• Usually refers to electronic documents.
Document 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 Management
• Became impractical in the early 20th
Century.
Document Management
• Became impractical in the early 20th
Century.
• Became practical with the advent of the
computer.
Document Management
But—
It’s based on Records Management
Records Management
The Basic Steps of Records Management:
1. The Records Inventory.
Records Management
The Basic Steps of Records Management:
1. The Records Inventory.
2. Identify Record Series.
Records Management
The Basic Steps of Records Management:
1. The Records Inventory.
2. Identify Record Series.
3. Determine the “Value” of each series.
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.
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.
Records Management
The Basic Steps of Records Management:
6. Write a Records Retention Schedule for
all information in the organization.
Records 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 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 Management
1. The Records Inventory:
Find all the information in your organization,
regardless of type.
Records 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 Management
2. Identify Record Series:
Examples:
--Purchase Orders.
--Construction Contracts.
--Personnel Files.
--Traffic Tickets.
Records 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:
Archive: (n) a repository for permanently
valuable information; (v) use as a verb
shows the user to be an ignorant subhuman species worthy only of contempt.
Records Management
3. Determine the “Value” of each series.
- administrative value
Records Management
3. Determine the “Value” of each series.
- administrative value
- fiscal value
Records Management
3. Determine the “Value” of each series.
- administrative value
- fiscal value
- legal value
Records Management
3. Determine the “Value” of each series.
- administrative value
- fiscal value
- legal value
- historical value
Records Management
4. Determine the length of time each series
needs to be kept.
This is an art, not a science.
Records 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 Management
4. Determine the length of time each series
needs to be kept.
- Start with the administrative needs of
the organization.
Records 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 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 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 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 Management
5. Determine the “Record” Copy.
In any media, there are multiple copies of
the same information in most offices.
Records 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 Management
5. Determine the “Record” Copy.
The “Record” copy is the one that has to be
produced in a court action.
Records 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 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 Management
5. Determine the “Record” Copy.
All other copies are “Copies of
Convenience”
Records 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 Management
6. Write a Records Retention Schedule for
all information in the organization.
- Based on series
Records Management
6. Write a Records Retention Schedule for
all information in the organization.
- Based on series
- Organized by Department or other
small unit
Records 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 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 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 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 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 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 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 Management
7. Get the Records Retention Schedule
approved by some authority.
Your board, commission, whatever.
Records Management
7. Get the Records Retention Schedule
approved by some authority.
Your board, commission, whatever.
As high as possible.
Records 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 Management
8. Apply the Records Retention Schedule.
To all recorded information, in whatever
form or media.
Records Management
8. Apply the Records Retention Schedule.
To all recorded information, in whatever
form or media.
From now on, and backwards.
Records 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 Management
All Georgia government agencies have a
“model” Records Retention Schedule
Done by the Georgia Department of
Archives and History.
Records 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 Management
For the past 20 years, paper records have been
controlled by Records Management software.
Records 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 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 Management
It tells the Records Manager when the file/box is
eligible for destruction.
Records 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 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 Management
Document Management is an extension of
Records Management
Document Management
Document Management is an extension of
Records Management
Every document within a series has the
same retention period.
Document 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 Management
You do not have to turn electronic
documents into paper to manage them.
Document 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 Management
EDMS software works by assigning a
retention period to all electronic
documents, usually at the moment of first
filing.
Document 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 Management
EDMS and Records Management Software
developed independently, usually by
different companies.
Document 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 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 Management
Recently, several companies have begun to
develop start-from-scratch software that
will manage both paper and electronic
information.
Document 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 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 Documents
Have the same legal standing as paper.
Electronic Documents
Have the same legal standing as paper.
Must have the same retention period as the
same document in paper would have.
Electronic 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 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 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 Documents
Should be maintained in electronic format if
at all possible.
Electronic Documents
A SPECIAL WORD ABOUT E-MAIL
Electronic 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 Documents
A SPECIAL WORD ABOUT E-MAIL
A huge volume of e-mail is “junque”
Electronic 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 Documents
A SPECIAL WORD ABOUT E-MAIL
E-mail “threads” can be quite cumbersome.
Electronic Documents
Make sure you understand how any EDMS
you are considering stores documents.
Single Copy
Electronic Documents
Make sure you understand how any EDMS
you are considering stores documents.
Single Copy
Replicated Copy
Electronic Documents
Make sure you understand how any EDMS
you are considering stores documents.
Single Copy
Replicated Copy
Federated Storage
Policy and Procedure
Records Retention Schedule—approved
and applied.
Policy and Procedure
Records Retention Schedule—approved
and applied.
Audit the practice.
Policy and Procedure
Records Retention Schedule—approved
and applied.
Audit the practice.
Records Retention Policy.
Policy and Procedure
Records Retention Schedule—approved
and applied.
Audit the practice.
Records Retention Policy.
(work with Records Manager)
Policy and Procedure
The Georgia Records Act provides that each
agency appoint an individual responsible
for the records of that agency.
Policy 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 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, CRM
[email protected]
Questions???