Document Management

1
Document Management

• Donald B. Schewe, CRM

2
What is Covered?

• The Problems

3
What is Covered?

• The Problems
• Records Management

4
What is Covered?

• The Problems
• Records Management
• Document Management

5
What is Covered?

• The Problems
• Records Management
• Document Management
• Electronic Documents

6
What is Covered?

• The Problems
• Records Management
• Document Management
• Electronic Documents
• Policy and Procedure

7
The Problems

• We have a lot of informationand its growing

8
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1 AD to1500 AD

9
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1 AD to1500 AD
• Mans knowledge doubled from 1500 AD to 1750 AD

10
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1 AD to1500 AD
• Mans knowledge doubled from 1500 AD to 1750 AD
• Mans knowledge doubled from 1750 AD to 1850 AD

11
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1850 AD to1900 AD

12
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1850 AD to1900 AD
• Mans knowledge doubled from 1900 AD to 1930 AD

13
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1850 AD to1900 AD
• Mans knowledge doubled from 1900 AD to 1930 AD
• Mans knowledge doubled from 1930 AD to 1950 AD

14
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1950 AD to1966 AD
• Mans knowledge doubled from 1966 AD to 1981 AD

15
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1950 AD to1966 AD
• Mans knowledge doubled from 1966 AD to 1981 AD
• Mans knowledge doubled from 1981 AD to 1995 AD

16
The Problems

• We have a lot of informationand its growing
• Mans knowledge doubled from 1995 AD to 2006 AD

17
The Problems

• We have a lot of recorded informationin paper or
  other media.
• George WashingtonA wagonload and a half

18
The Problems

• We have a lot of recorded informationin paper or
  other media.
• George WashingtonA wagonload and a half
• Herbert Hoover1,000,000 pages

19
The Problems

• We have a lot of recorded informationin paper or
  other media.
• George WashingtonA wagonload and a half
• Herbert Hoover400,000 pages
• Franklin D. Roosevelt2,500,000 pages

20
The Problems

• We have a lot of recorded informationin paper or
  other media.
• George WashingtonA wagonload and a half
• Herbert Hoover400,000 pages
• Franklin D. Roosevelt2,500,000 pages
• Jimmy Carter26,000,000 pages

21
The Problems

• We have a lot of recorded informationin paper or
  other media.
• Bill Clinton42,000,000 pages

22
The Problems

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

23
The Problems

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

24
The Problems

• We have a lot of information in other than 8 ½ x
  11 format
• Photographs
• Engineering Drawings
• Maps and Plats

25
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)

26
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

27
The Problems

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

28
The Problems

• We have a lot of information in other than 8 ½ x
  11 format
• Electronically recorded information
• Video Tape

29
The Problems

• We have a lot of information in other than 8 ½ x
  11 format
• Electronically recorded information
• Video Tape
• Audio Tape

30
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

31
The Problems

• We have a lot of information in other than 8 ½ x
  11 format
• Electronically recorded information
• e-mail

32
The Problems

• We have a lot of information in other than 8 ½ x
  11 format
• Electronically recorded information
• e-mail
• voice mail

33
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

34
The Problems

• We have a lot of information in other than 8 ½ x
  11 format
• Electronically recorded information
• Web sites

35
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

36
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

37
The Problems

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

38
The Problems

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

39
The Problems

• We have a lot of information in other than 8 ½ x
  11 format
• Microfilm
• Microfiche
• Scanned material

40
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

41
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

42
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

43
The Problems

• We have a lot of information that isnt Record
  Information.

44
The Problems

• We have a lot of information that isnt Record
  Information.
• We have to comply with the Georgia Records Act.

45
The Problems

• We have a lot of information that isnt Record
  Information.
• We have to comply with the Georgia Records Act.
• We have to comply with the Georgia Open Records
  Act.

46
Records Management

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

47
Records Management

• Began in U. S. Government following World War II
• Hoover Commission on the Improvement of Government

48
Records Management

• Began in U. S. Government following World War II
• Hoover Commission on the Improvement of
  Government
• Placed in the National Archives

49
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)

50
Records Management

• Developed the Life Cycle concept of management.

51
Records Management

• Developed the Life Cycle concept of management.
• Dealt with Series of Records, not individual
  documents.

52
Records Management

• Many different definitionsMine
• 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.

53
Records Management

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

54
Records Management

• Applies to recorded information in all forms and
  on all media.
• Generally refers to the information, not the
  media.

55
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.

56
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)
57
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)

58
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.

59
Records Management

• Georgia Law This applies to
• State agencies, departments, boards, bureaus,
  commissions, and public corporations

60
Records Management

• Georgia Law This applies to
• State agencies, departments, boards, bureaus,
  commissions, and public corporations
• County and Municipal agencies and departments

61
Records Management

• Georgia Law This applies to
• State agencies, departments, boards, bureaus,
  commissions, and public corporations
• County and Municipal agencies and departments
• School Districts
• --O.C.G.A. 50-14-1(a)(1)(A-D)

62
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)

63
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)

64
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)

65
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)

66
Document Management

• Deals with individual documents, not series.

67
Document Management

• Deals with individual documents, not series.
• Usually refers to electronic documents.

68
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).

69
Document Management

• Became impractical in the early 20th Century.

70
Document Management

• Became impractical in the early 20th Century.
• Became practical with the advent of the computer.

71
Document Management

• But
• Its based on Records Management

72
Records Management

• The Basic Steps of Records Management
• The Records Inventory.

73
Records Management

• The Basic Steps of Records Management
• The Records Inventory.
• Identify Record Series.

74
Records Management

• The Basic Steps of Records Management
• The Records Inventory.
• Identify Record Series.
• Determine the Value of each series.

75
Records Management

• The Basic Steps of Records Management
• The Records Inventory.
• Identify Record Series.
• Determine the Value of each series.
• Determine the length of time each series needs to
  be kept.

76
Records Management

• The Basic Steps of Records Management
• The Records Inventory.
• Identify Record Series.
• Determine the Value of each series.
• Determine the length of time each series needs to
  be kept.
• Determine the Record Copy.

77
Records Management

• The Basic Steps of Records Management
• 6. Write a Records Retention Schedule for all
  information in the organization.

78
Records Management

• The Basic Steps of Records Management
• Write a Records Retention Schedule for all
  information in the organization.
• Get the Records Retention Schedule approved by
  some authority.

79
Records Management

• The Basic Steps of Records Management
• Write a Records Retention Schedule for all
  information in the organization.
• Get the Records Retention Schedule approved by
  some authority.
• Apply the Records Retention Schedule.

80
Records Management

• 1. The Records Inventory
• Find all the information in your organization,
  regardless of type.

81
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.

82
Records Management

• 2. Identify Record Series
• Examples
• --Purchase Orders.
• --Construction Contracts.
• --Personnel Files.
• --Traffic Tickets.

83
Records Management

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

84
Dons 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.

85
Records Management

• Determine the Value of each series.
• - administrative value

86
Records Management

• Determine the Value of each series.
• - administrative value
• - fiscal value

87
Records Management

• Determine the Value of each series.
• - administrative value
• - fiscal value
• - legal value

88
Records Management

• Determine the Value of each series.
• - administrative value
• - fiscal value
• - legal value
• - historical value

89
Records Management

• Determine the length of time each series needs to
  be kept.
• This is an art, not a science.

90
Records Management

• 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.

91
Records Management

• Determine the length of time each series needs to
  be kept.
• - Start with the administrative needs of the
  organization.

92
Records Management

• 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.

93
Records Management

• 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.

94
Records Management

• 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.

95
Records Management

• 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.

96
Records Management

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

97
Records Management

• Determine the Record Copy.
• In any media, there are multiple copies of the
  same information in most offices.
• We dont need all copies for the length of time
  requiredjust one.

98
Records Management

• Determine the Record Copy.
• The Record copy is the one that has to be
  produced in a court action.

99
Records Management

• 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.

100
Records Management

• 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.

101
Records Management

• Determine the Record Copy.
• All other copies are Copies of Convenience

102
Records Management

• 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.

103
Records Management

• 6. Write a Records Retention Schedule for all
  information in the organization.
• - Based on series

104
Records Management

• 6. Write a Records Retention Schedule for all
  information in the organization.
• - Based on series
• - Organized by Department or other small unit

105
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

106
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

107
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

108
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

109
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.

110
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.

111
Records Management

• Sample Retention Schedule Entry
• Common Records
• Correspondence Record Copy If papermaintain
  in office of record for one year. Transfer to
  RHA for two years, then destroy. If
  electronicmaintain on line for one year.
  Transfer to near-line for two years, then
  destroy. Copies of ConvenienceDestroy when no
  longer needed, but no later than two years after
  receipt or creation.

112
Records Management

• Get the Records Retention Schedule approved by
  some authority.
• Your board, commission, whatever.

113
Records Management

• Get the Records Retention Schedule approved by
  some authority.
• Your board, commission, whatever.
• As high as possible.

114
Records Management

• 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.

115
Records Management

• Apply the Records Retention Schedule.
• To all recorded information, in whatever form or
  media.

116
Records Management

• Apply the Records Retention Schedule.
• To all recorded information, in whatever form or
  media.
• From now on, and backwards.

117
Records Management

• 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.

118
Records Management

• All Georgia government agencies have a model
  Records Retention Schedule
• Done by the Georgia Department of Archives and
  History.

119
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/reten
  tion_schedules/default.htm

120
Records Management

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

121
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.

122
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.

123
Records Management

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

124
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.

125
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.

126
Document Management

• Document Management is an extension of Records
  Management

127
Document Management

• Document Management is an extension of Records
  Management
• Every document within a series has the same
  retention period.

128
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.

129
Document Management

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

130
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).

131
Document Management

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

132
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.

133
Document Management

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

134
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.

135
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.

136
Document Management

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

137
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

138
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

139
Electronic Documents

• Have the same legal standing as paper.

140
Electronic Documents

• Have the same legal standing as paper.
• Must have the same retention period as the same
  document in paper would have.

141
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

142
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

143
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

144
Electronic Documents

• Should be maintained in electronic format if at
  all possible.

145
Electronic Documents

• A SPECIAL WORD ABOUT E-MAIL

146
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.

147
Electronic Documents

• A SPECIAL WORD ABOUT E-MAIL
• A huge volume of e-mail is junque

148
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.

149
Electronic Documents

• A SPECIAL WORD ABOUT E-MAIL
• E-mail threads can be quite cumbersome.

150
Electronic Documents

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

151
Electronic Documents

• Make sure you understand how any EDMS you are
  considering stores documents.
• Single Copy
• Replicated Copy

152
Electronic Documents

• Make sure you understand how any EDMS you are
  considering stores documents.
• Single Copy
• Replicated Copy
• Federated Storage

153
Policy and Procedure

• Records Retention Scheduleapproved and applied.

154
Policy and Procedure

• Records Retention Scheduleapproved and applied.
• Audit the practice.

155
Policy and Procedure

• Records Retention Scheduleapproved and applied.
• Audit the practice.
• Records Retention Policy.

156
Policy and Procedure

• Records Retention Scheduleapproved and applied.
• Audit the practice.
• Records Retention Policy.
• (work with Records Manager)

157
Policy and Procedure

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

158
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.

159
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.

160
Donald B. Schewe, CRMdschewe_at_mindspring.com
161
Questions???