WHY

RECORDS MANAGEMENT?

About PRISM International

PRISM (Professional Records and Information Services Management)International, Inc., is a not-for-profit trade association providing educa-tion, networking and advocacy services to our members and the businesspublic. Our members operate commercial and non-commercial facilitiesspecializing in information management (the discipline of safely pre-serving vital, important and necessary information throughout its usefulretention and confidentially destroying it when it is no longer requiredto be preserved).

PRISM International is based in the United States and serves membersin 38 countries around the world. The participating members of ourorganization are owners and senior managers of the firms describedabove. Our organization was founded as ACRC (Association ofCommercial Records Centers) and became PRISM International in1996, after merging with NASDV (National Association of SecuredData Vaults).

PRISM International members provide professional information man-agement services to businesses, organizations and governments. Theyare critical partners in disaster recovery strategies, litigation risk man-agement, cost reductions through outsourcing offsite information stor-age, and providing critical information management tools to empowerbetter management solutions and enhanced profitability.

© Copyright PRISM International 2004.All Rights Reserved.

PRISM International Headquarters4700 W. Lake Ave.Glenview, IL 60025-1485+1-847-375-6344Fax: +1-847-375-6343info@prismintl.org

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“WHY RECORDS MANAGEMENT?”

Table of Contents

1. Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

SECTION I – JUSTIFICATION2. Records Management: What Is It? . . . . . . . . . . . . . . . . . . . . . . . . . 7

3. Functions of Records Management . . . . . . . . . . . . . . . . . . . . . . . . . 9

4. Disaster Recovery and Business Survival . . . . . . . . . . . . . . . . . . 12

5. Efficiency and Effectiveness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

6. Statutory Requirements and Criminal Penalties . . . . . . . . . . . . . . 18

7. Risk Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

8. Data Mining, Knowledge Management and

a Records Management Standard . . . . . . . . . . . . . . . . . . . . . . . . . 30

SECTION II – IMPLEMENTATION9. ISO 15489 and Classification Systems . . . . . . . . . . . . . . . . . . . . . 33

10. Retention Scheduling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

11. Filing Methodologies and Equipment . . . . . . . . . . . . . . . . . . . . . . 41

12. Media Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

SECTION III – RESOURCES13. Information Lifecycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

14. Brief History of Records Management . . . . . . . . . . . . . . . . . . . . . 53

15. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

16. About the Author . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

17. Sample Records Management Forms . . . . . . . . . . . . . . . . . . . . . . 60

18. Appendixes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71

19. Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72

1: EXECUTIVE SUMMARY:

Information has always been an organization’s central resource. Without it,the modern organization simply could not function. Business records are opera-tional—and sometimes strategic—assets. They have economic, legal, fiscal,risk-management, and competitive values. Many organizations, however, lackeffective policies and procedures for systematic control of their recorded infor-mation. As a result, they keep some records too long, spend too much to storethem, waste time looking for misplaced information, risk penalties for non-com-pliance with recordkeeping regulations, risk a public-relations nightmare, andfail to protect mission-critical information from harm.

Narratives about such records management problems form the back-bone of the field’s experience with organizations that lack records man-agement. Common examples include:

• Paperwork is the largest overhead expense in any organization,• Active files typically grow at a rate of about 25% annually,• Managers spend an average of 4 weeks a year searching for or

waiting on misfiled, mislabeled, untracked, or “lost” information,• Office workers can waste up to two hours a day looking for misplaced

paperwork,• 90% of records, once filed, are never referred to again,• 95% of references are to records less than 3 years old,• Two thirds of records in organizations without records management

may be removed from offices and either destroyed as being obsolete ortransferred to lower-cost offsite facilities,

• At any given time, between 3 and 5 percent of an organization’s filesare lost or misplaced,

• The average cost of recreating a one-page document is $180,• Companies typically misfile 2% to 7% of their paper and electronic

records,• Computer users spend 7.5% of their time on a PC looking for files,• 67% of data loss is directly related to user blunders, making them 30

times more menacing than viruses and the leading cause of data loss,• 30% of paperwork is useless and could be eliminated; and 37% of

photocopies made are unnecessary, and• Large organizations lose a document every 12 seconds,

The creation, storage, retrieval, use, and destruction (or permanent archivalretention) of information of all types and in all media is an increasingly difficult

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challenge for business and government organizations. Despite the application ofinformation technologies, the mounting rise of “paperwork” requirements con-tinues to accelerate. In today’s corporate volatile environment, records manage-ment is simply not optional. In fact, records management works all day every dayfor every unit in those organizations that adopt a comprehensive records manage-ment program.

Records are central to the work ofall organized entities. They sustainthe work of the organization, yet theyare, to an extent, a drain on itsresources as well. What is often notwell understood is that records are asmuch a resource-intense feature of operations as are employees, facilities, andequipment. In fact, some estimate that about 90 percent of all white-collar activi-ties focus on information-related activities (e. g, creating, storing, retrieving, dis-tributing). Clearly, considerable expense is required for this activity, and recordsmanagement works to keep all aspects of these functions as economical as possi-ble. Records should earn their keep, and records management makes sure they do.

Records management—also called “records and information management” or“recorded information management” (RIM)—is the systematic application ofmanagement principles—chiefly control—to the recorded information neededand used in the normal course of an organization’s business. Records documenttransactions and, in some cases, may be legally required as evidence of eachtransaction. Transactional records include orderings, schedules, receipts, notifi-cation, loans, and contracts, and many other types. While it is no surprise thatrecords document such actions today, these same actions were documented byrecords some 4,000 years ago.

In a Federal Computer Week article, J. Timothy Sprehe addresses the linguis-tic barriers between information technology personnel and records managers.“Take a simple word such as ‘record.’ In database management, a record is acomplete set of information composed of data fields; a set of records makes up afile. In document technologies, ‘record’ means any information stored by anydevice. In workflow, a record is a collection of individual items of data treated asa unit. These are the meanings familiar to IT managers.”

“In records management, the term ‘record’ carries far heavier weight. TheInternational Organization for Standardization defines a record as ‘informationcreated, received and maintained as evidence and information by an organization

One study found that in single year recordsmanagement saved a university $667,882 -in source and filing equipment alone - aftersubtracting the program’s budget

http://www.theimpros.com/im/case.html

or person, in pursuance of legal obligations or in the transaction of business’”(ISO 15489).

“In this sense,” as Sprehe notes, “a record is something you can take into acourt of law. And if called upon, you must be able to show in court that the recordhas authenticity, reliability, integrity and usability — that is, you must prove thatthe record is what it purports to be, that it is complete and unaltered, that it fullyand accurately represents the facts to which it attests, and that it can be retrievedand presented.”

Sprehe’s commentary cuts straight tothe heart of the issue of organizationalrecords management. A going concern iscompelled by law, by potential litigation,by audit requirements, or by commonindustry practice to produce evidence ofits operations. These requirements may extend to a finite period, indefinitely—ormay be permanently retained. In addition, an organization must plan for contin-gencies in the event of natural or man-made disasters which would provide forthe survival of the business in those circumstances. These items represent therisk-management aspects of records management.

Records managers see recordkeeping systems in a larger framework than justthe records alone. Such systems include people who create and use organization-al records, policies related to records, procedures to ensure maximum access toand use of records, tools and technologies to create and store records in a varietyof formats, as well as education and training both for records managers and thosethey serve.

Records and information management also brings significant classificationbenefits to an organization. Properly applied, records and information generatedby the organization is classified, or organized, in such a way that it can be foundquickly and used successfully to aid in decision processes undertaken by work-ers and management. This is particularly true in the area of digital informationcreation since employees may combine poor organizational skills with the capa-bility of creating volumes of new business information independently of eachother. This quickly leads to infoglut. Cost control is another major value sinceinformation storage costs can be significant regardless of media type. Skilledmanagement of information prior to a pre-authorized destruction date is a way tokeep organizations from drowning in the volumes of information it produces ona daily basis.

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These have been considered recordsby courts:• Doodles on a paper napkin• Core samples from oil exploration• A pipe with a part number on it• Sections of frozen tissue samples

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Employees involved in records and information management should have ahigh degree of interaction with critical business units. IT/IS departments, legalcounsel or legal departments, accountants, auditing, finance departments, andcontingency or disaster planning units or individuals are all critical areas of inter-action for the records manager. Records management is a specialized field ofinformation management concerned with systematic analysis and control ofoperating records associated with business activities. Just as attorneys handlelegal issues, increasingly recordkeeping issues are best handled by experiencedrecords professionals. The field has been professionalized through a certificationprogram which grants the Certified Records Manager (CRM) status to those whopass a six-part written examination and maintain certification through continuingeducation <http://www.icrm.org>.

Coordination of records functions to support and reinforce business opera-tions are central to the mission of records and information management. In theUnited States the recent passage of the Sarbanes-Oxley Act and regulationspromulgated by the Securities and Exchange Commission prompt ChiefExecutive Officers to meet periodically with their CFOs and records managers toinsure that all required information is being retained, managed, and destroyedaccording to statute. Failure to comply with these and other regulations, includ-ing enhanced laws protecting personal privacy in many countries, regardinginformation retention and disposition could result in severe fines, criminalcharges, and imprisonment.

Where there is substantial employee turnover or where there have been con-solidations due to mergers or acquisitions, a skilled records manager can proveinvaluable in reminding departments such as marketing and sales of informationassets that already exist within the organization. The organization of these assetsto facilitate retrieval and use by specialized employees, departments, or out-source providers, such as consultants, or agencies can leverage existing assets tocreate additional profits for the organization.

Records and information management is most effective when it is implement-ed in an organization-wide approach. Resources such as ISO 15489—discussedbelow—provide significant guidance in implementing a systems approach thatincorporates all employee records output and considers all types of informationirrespective of the type of media or its creation and disposition date. Applicationof ISO 15489 within all departments and in all operating units requires the com-plete support of management, as well as training of individual employees to iden-tify records at the point they are created. It also requires cooperation in identify-ing all company records, identifying a thesaurus of terms in use among various

individuals or departments in order to design finding aids and to adhere torecords management principles.

Because of their specific training in records and information managementconcepts, records managers should be involved in purchasing decisions for infor-mation storage and retrieval devices and should be empowered to provide guid-ance to operating departments regarding appropriate media selection for infor-mation storage and retrieval. They should be tasked with the responsibility (orconsulted where appropriate) for locating outsourcing vendors for inactiverecords storage, computer tape backup and disaster recovery vendors, and ven-dors specializing in the confidential destruction of information. Records andinformation managers should also provide ongoing training to various depart-ments regarding records retention requirements, records series identification,information technology (IT) alternatives, and finding aids and retrieval proce-dures.

By implementing a consistent, organization-wide and upper-management sup-ported records and information management program, an organization seeks to

• Conform to statutory require-ments for information reten-tion,

• Provide itself appropriate evi-dence of transactions todefend itself in litigation oraudit,

• Leverage information assets into meaningful competitive intelligenceand market research data,

• Minimize jeopardy during the discovery phase of litigation, Provide forthe continuity of the organization during a disaster,and Assist in controlling costs through the timely disposition of infor-mation.

These risk-management and value-added benefits are essential to the effi-cient and effective operation of an enterprise and should receive both strongmanagement support and sufficient resources to operate effectively within theorganization.

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At any given time, between 3 and 5 per-cent of an organization’s files are lost ormisplaced. The average cost of recreat-ing a document is $180. Annual losesfor a Fortune 1000 company with onemillion files is $5 million dollars

Information Week

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SECTION I: JUSTIFICATION

2. RECORDS MANAGEMENT: WHAT IS IT?

Records management is both a discipline and management function con-cerned with the systematic application of management techniques to and controlof the information created or received in the normal information of an organiza-tion’s business.1 Unlike many information sources, records also have a more dis-tinct life cycle that includes creation or receipt, processing, distribution, mainte-nance, evaluation, and ultimate disposition (i.e., either destruction or transmittalfor permanent housing in an archive, vault, or other dedicated facility operatedby the company or an outsourcing partner).

There will be organizational information systems that are made up of records(e.g., library records), but not all information systems are recordkeeping systems.Recordkeeping systems are required to have the following:

• Reliability (consistent cap-ture, organization access torecords),

• Integrity (no unauthorizedalteration, destruction,removal),

• Permanence (cannot betampered with, altered, or improperly deleted),

• Comprehensiveness (management of all records created and stored as anormal continuous activity of all units in an organization), and

• Compliance (created and maintained in a manner that is consistentwith all policies and procedures that apply to organizational records).

There are several benefits from an energetic and systematic records manage-ment program. According to Robek, they include:

• Control of the creation, volume, redundancy, and growth of records,• Reduction of operating costs through active management and intelli-

gent outsourcing decisions,• Improvement of overall efficiency and productivity,

1 (A “document” is related to but not the same as a record. This is the case because all records are doc-uments, but not all documents are records. Documents, for example, may include library collections,available unpublished materials, and other resources not produced in the organization’s normal courseof business. A document may be as brief as one page. Records management, however, focuses on thetreatment of larger groups or sets of records rather than individual completed forms or single records.)

Active vs. Inactive FilesIn FY 1998, the federal government foundthat one cubic foot of records could bestored in a records center for $1.59 annual-ly while that same cubic foot cost $23.10 tomaintain in typical office space and equip-ment .

• Assimilation of emerging records management technologies,• Ensuring legislative, regulatory compliance as well as other risk-man-

agement concerns, such as litigation,• Safeguarding the organization’s vital information, including historical

records,• Supporting enhanced performance and productivity of business

processes, and • Enabling quicker and better management decision making.

Records management offers a variety of asset-management benefits :protec-tion (e.g., of privacy, data ownership, intellectual property); monitoring (e.g.,auditing, due diligence, compliance); maintenance(e.g., storage, preservation,retention according to policy); documenting (e.g., past decisions and actions).

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3. FUNCTIONS OF RECORDS MANAGEMENT

In addition to the goals noted above, there are programmatic functions ofrecords management programs: what do they do in an operational sense? Herewe can only introduce each component briefly. The basic functions of a recordsmanagement program once it is agreed to by senior management include:

• Taking a records inventory throughout the organization to identifyrecords as to types, locations, volumes, and conditions in which therecords are housed. (discussed in more detail below; also, see RecordsInventory Form, Appendix 1). From the inventory a variety of programinitiatives emerge (e.g., identification of vital records, privacy and confi-dentiality issues, opportunities for application of appropriate technology).

• Using information from the records inventory and legal research tools,develop retention schedules for all the records series in the organiza-tion regardless of media or location. Among the issues to be addressedare: how long records must maintained in the creating office and thenlater in offsite storage, confidentiality, security, status as vital or archivalrecords, medium in which the information is recorded (paper, film, tape,etc.), and how should they be disposed of—destruction or transfer to anarchival repository). (See Retention Schedule Form, Appendix 2).Records retention is discussed in more detail, below.

• Vital records are those which contain data or information essential tothe survival of an organization in the event of natural or man-made dis-aster. As many as 90% of businesses are unable to continue after twoyears when their vital records are destroyed Some of these records willbe unique, that is, there isbut one copy being created.The vital records program,part of a larger businessrecovery plan, uses a varietyof strategies to ensureaccess to vital records.(Vital records are discussedin more detail, below; see Vital Records Identification, Appendix 3.)

• The management of active files is an integral part of a comprehensiverecords management program. This function is particularly importantsince these records cause the greatest expenditures in space, staff, equip-

83% of all business documents consist offorms. Businesses spend $1 billion a yeardesigning and printing forms but $25-35billion a year filing, storing, and retrievingthen, and some $65-85 billion processing,maintaining, and distributing them.

The Myth of the Paperless Office (2002)

ment, and supplies. The role of the active files function is to reduce costsbut at the same time increase efficiency and effectiveness in the work-place. To achieve these objectives, records in each organizational unitare reviewed in areas such the type of media used to store the informa-tion, physical location and access to the files, and classification systemsbest suited for the management of each particular type of files. There aremany electronic and paper-based systems available to set up classifica-tions and filing systems.

• Inactive files management is a strategy to continually move files out ofmore expensive office space when they have become inactive (oftendefined as a reference rate of less than one search per file drawer permonth). Removed files are typically placed in a high-density, low-costrecords storage environment (either in-house or outsourced). Here labor,space, shelving, and supplies are much less expensive than in the officeenvironment. Records retention programs, policies, procedures, andschedules—discussed below—drive the transfer of inactive records.Savings from the management of inactive files is compelling; for exam-ple, Sandy Santori, Minister, Management Services for the CanadianProvince of British Columbia reported in a 2002 speech that “The threecontracts to private storage [records] facilities totaled $2.3 million in thelast fiscal year. For every dollar spent to store [700,000 boxes of] recordsin these off-site centers, it is estimated that the government [of BritishColumbia] saves four dollars.”

• On average, three percent of the total body of an organization’s recordsqualify as archival records and thus have a life-of-company retentionvalue. Archival records, sometimes called “corporate memory,” form arecord of both the past and present, showing long-term growth, develop-ment, and accountability to stakeholders. They also record long-termfunctions and activities. Records with archival value normally fall intoone or more of the following categories: historical, legal, fiscal, or infor-mational.

• Imaging technologies have become an important part of records man-agement. Records should be analyzed to determine if microfilming ordigital imaging is appropriate. Microforms remain an appropriate tech-nology, particularly for records that need absolute file integrity or havea retention requirement for which long-term storage is mandated.Microfilm offers virtues such as low-cost, easy retrieval, use for vitalrecords backup, and a medium widely used for preservation of important

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documents. Optical disk systems can be used to scan paper records andoffer other useful capabilities; these include high-volume storage, fastretrieval, fast printing as needed along with the other virtues of digitalsystems, such has high-speed transmission to various locations. Sometechnologies enable simultaneous scanning and microfilming.

• Forms management is important to records management. By far thelargest volume of records in any organization are printed or electronicforms. Forms facilitate handling of current but variable data. They arehelpful in recording or documenting discrete transactions. In workingwith a team to create a form, records managers can set up forms controlsystems that include (1) analysis of the process or procedure requiringthe form’s use, (2) identification of where the form should be positionedin the specific business process, (3) creation of layout and then design ofthe form, (4) upload or install form (if digital) or have it printed and pro-cured (if paper), and (5) then dissemination to the forms’ users. Thisactivity creates an opportunity for records managers to participate at theimportant creation stage of records in order to reduce long-term costsand enhance productivity.

Since clerical processing of the form—printed or electronic—costs significant-ly more than its design and printing, it is critical to use what we know about howpeople process information to ensurethat two objectives of form design aremet: (1) the greatest amount of need-ed information will be supplied and(2) the information can be supplied inthe shortest amount of employee orcustomer time. Effective formsdesign and management significantlyimproves productivity.

Are Records Really Valuable?In trying to resurrect Iraq’s oil industry,authorities discovered that seismic chartsfor 200,000 kilometers of land weredestroyed. Each chart cost approximately$15,000 to create. The value of therecords? $3 billion.

Newsweek July 21, 2003

4: DISASTER RECOVERY AND BUSINESS SURVIVAL

On September 11, 2001, thousands of businesses located in or around theWorld Trade Center found themselves in the midst of a catastrophe. There wasmassive loss of life, facilities and equipment were ruined, transportation routeswere gridlocked, communication channels were overwhelmed, and airspace wassanitized. Yet many of the affected businesses were able to resume operations onSeptember 12. How was this possible? Careful planning.

Contingency planners and disaster recovery experts may disagree on somedetails, but all would agree that every business and organization should have adisaster recovery plan. These plans will vary widely based upon the scope andscale of the organization, but all should identify possible scenarios that couldinterrupt their operations and then devise strategies to overcome these interrup-tions. The most common scenarios are forces of nature such as earthquakes, hur-ricanes, tornados, landslides, wildfires, flooding, blizzards, ice storms, volcanoesand tidal waves. Man-made disasters should also be addressed; e.g., arson, pro-longed power loss, burglary, vandalism, computer attacks, espionage, bombthreats, terrorist attacks, chemical spills, transportation interruptions, etc.

A basic assumption of disasterrecovery is that the primary site oforganizational operations will beeither non-existent, unsuitable foroccupancy, or inaccessible. This

necessitates the creation of a temporary location to continue the activity of theorganization. In order to accomplish this objective, information and other criticalresources must be transferred from the primary location to a secondary location.From a records management standpoint, this requires organization of informationassets in such a way that critical active records, as well as vital records, such ascorporate charters, are both complete and portable (e.g., via dispersion).

The first step in protecting critical information assets is to identify them—inadvance. This calls for an information and records inventory. A records managershould interview employees from all departments, including legal counsel andexternal accounting partners, in order to gain a complete picture of companyinformation assets that would be essential in maintaining a viable organization.These records receive the label vital records. Vital records are frequently protect-ed by redundancy. That is, a copy of each vital record is created and then be sentfor storage in a facility physically separated from the primary operations unit ofthe company. While many organizations who operate in multiple facilities or geo-

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The ANSI standard for maintaining unuseddata-bearing media is 40 degrees F and20% RH.

ANSI IT9.23-1998

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graphically disparate locations may rely on unaffected company locations forother disaster recovery strategies, the preservation of vital records is frequentlyoutsourced to a third party commercial information management company inorder to insulate that information from internal attacks by disgruntled employees.

The need for this third-party involvement is clearly demonstrated in the fol-lowing excerpt from an article in Network World magazine. “Tim Lloyd ofWilmington, Delaware, was found guilty last spring of planting a software timebomb in a centralized file server at Omega Engineering’s Bridgeport, NewJersey, manufacturing plant. The malicious software code destroyed the pro-grams that ran the company’s manufacturing machines, costing Omega morethan $10 million in losses, $2 million in reprogramming costs, and eventuallyleading to 80 layoffs…The case stems from a July 31, 1996, incident at Omega,a Stamford, Connecticut, manufacturer of customized high-tech measurementand instrumentation devices. On that morning, the central file server crashed onboot up, deleting and purging all programs on it. After months of data recoveryefforts, the programs are considered a complete loss.”

Here is a further illustration from the Computer Security Institute,“Companies reporting computer crime for 1997 have reported the following:virus infection - 65%; laptop theft - 57%; abusive use of the Internet - 31%; unau-thorized computer use - 16%; telecommunications fraud - 16%; information theft- 14%; financial fraud - 12%; sabotage - 11%; network break-in - 8%.” TheHarris Corporation reports that “60% of computer abuse is caused by insiders.85% of computer break-ins occur internally. Insiders still remain as the most seri-ous threat to intellectual property.”

Redundant copies may take the formof paper records, microforms, computerdata tapes, or combinations of all thosemedia types and others as well. Thelocation of these materials, along withan inventory of the redundant copiesshould be communicated in the disaster recovery plan, along with contact infor-mation for the commercial information management company. Access to thisinformation is shielded by a restrictive authorization list, which is a select groupof employees authorized to order the retrieval of information. When contemplat-ing a scenario such as September 11, where there was massive loss of life, itwould be prudent to include the name of a non-company employee (such as legalcounsel or external company accountant) on the authorization list in order toinsure that there will be a surviving person authorized to order retrieval of vital

Paperless?For every sales increase of $100 mil-lion that a company experiences, ituses 8.8 million more sheets of paper.

PriceWaterhouseCoopers (2000)

information, even in the case of an incident leading to significant casualties. It isalso a prudent step to include a copy of the organization’s disaster recovery planat a distant offsite location.

A responsibility of records managers is that of ensuring that records of alltypes are housed in fire-proof, climate controlled environments appropriate totheir nature. Commercial facilities protecting vital records, particularly comput-er data tapes and microfilm, are known as media vaults. This is an important dis-tinction, since the characteristics of a media vault bear very little resemblance toa bank vault. The exterior surfaces of a media vault are equipped with special fit-tings and doors in order to prevent the expansion of a fire into the facility. In thecase of media storage, the fittings will be rated to hold the internal temperatureof a vault to 125 degrees Fahrenheit for a finite number hours when directlyexposed to a fire. On the interior of the vault, special gas-based fire suppressionsystems are installed, special filters siphon particles of dust and contaminants outof the air, and special machinery is used to maintain a constant temperature andhumidity level. This specialized environment is designed to maximize the life ofthe media contained in the vault.

Even though special steps are taken to maintain a pristine environment, degra-dation of media is a naturally occurring phenomenon. This requires vital recordscopies to be regularly tested in order to insure that data contained on tapes, CDs,or other digital media is still readable. If data tapes or other digital media arebeing maintained for an extended period of time, in a tape library for example,data should be periodically scheduled for transfer to fresh media. This practiceis known as data migration and will take into account changes in hardware usedto read the media, the operating systems of machines, and software versions usedto interpret the data contained on the digital media. The National Archives and

Records Administration of the United States(NARA) recommends that five percent ofdigital information in storage be sampledafter the first seven years in order to insurethat information is still accessible.

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U.S. managers spend an average of4 weeks a year searching for orwaiting on misfiled, mislabeled,untracked, or “lost” papers.

Cuadra Associates

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5: EFFICIENCY/EFFECTIVENESS

Since records management is a staff rather than a line function, its values areoften cast in terms of organizational support rather than direct revenue produc-tion. Any such function, however, must have clear purposes and offer a variety ofbenefits important to line management. Traditionally, cost savings has been aprimary benefit and has focused on such areas as the difference in space costsbetween expensive low-density office space and that for low-cost, high-densitystorage space for inactive records.

Records management is often introduced into an organization when one ormore driving problems emerge and action must be taken. Below is a diagnosticchecklist that may reveal the need for a systematic, organization-wide, and life-cycle approach to managing recorded information.

• Managers spend too much time waiting or searching for documents,Files needed by customers, employees, auditors, the public, attorneys,and others are increasing difficult—or even impossible—to find,

• Important documents are sometimes inadvertently discarded or removedwithout authorization,

• Offices are needlessly housing records no longer required forday–to–day business; current filing systems are no longer able to handlethe growing volume,

• Office space is becoming crowded with filing cabinets—each requiringallocation of 6.9 sq. ft. of floor space (cabinet base, file use space, and pas-sageway space for other staff + wheelchair passage) to house, provideaccess to, and permit employee traffic while drawers are open and in use,

• Employees suffer morale problems when they compete with the growthof records for rapidly diminishing space,

• There are no policy-based retention schedules, and “old” records arekept “just in case” and stack up in attics, basements, closets, and pas-sageways because no one is sure what ought to be done with them,

• Important categories of critical records (e.g., vital records, archivalrecords) go unidentified and unprotected—some may be thrown out inthe trash,

• Inactive records are banished to hostile environments, such as base-ments, attics, garages, closets, abandoned buildings and there is neitheran adequate list of locations nor an effective index to what is storedthere,

• Records are exposed to dust, dirt, rodents, insects, mold, mildew—all ofwhich accelerate deterioration of records,

• Records storage areas for active and inactive records as well as digitalmedia do not meet national standards for climate control,

• Despite vendor claims, a lack of certainty prevails about the various types,benefits, limitations, and applicability of recordkeeping technologies,

• Backups for each computer (not just network files) not regularly madeand all media rotated to secure offsite locations (putting a backup discnext to one’s computer won’t be helpful if the office burns),

• Lack of policy and procedures manuals to standardize effective informa-tion handling processes,

• Corporate image suffers when records needed by customers or auditorsare “missing,”

• There is a crisis (e.g., broken water pipes, fire, flood, lawsuits, embar-rassing audits, etc.) that reveal inadequacies in recordkeeping.

Clearly, organizational productivity and efficiency are bound up in theseproblems. In some ways, records are organizational orphans—they are everyunit’s information asset and, frequently, their “problem.” They are too often,however, no one’s specific organization-wide responsibility. IT’s interests andpriorities often fall well outside the needs of managing records.

Reduction in labor costs andincreases in worker productivity arekey priorities in almost every businessaround the world. The presence of ahighly organized and systematicrecords management program that

includes all records, regardless of media type or location, can provide muchneeded productivity increases and lower labor costs. In his report “Dying ForInformation: A Report on Information Overload in the UK and Worldwide,” PaulWaddington of Reuters makes the following observations. “Time is wasted.People spend too much time looking for information. 38% of managers surveyedwaste ‘substantial’ amounts of time just looking for information.”

The Reuters studies, conducted in three sections from 1994-1996 looked atmanagers from the UK, United States, Hong Kong and Singapore. More than halfof those surveyed expressed a very high need for information. Further,Waddington’s report states “Decisions are often delayed: 43% of respondentsthought that decisions were delayed and otherwise adversely affected by ‘analy-sis paralysis’ or the existence of too much information. 47% of respondents saidthat information collection distracts them from their main responsibilities. Theyfind it difficult to develop strategies for dealing with the information they

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Federal and New York regulators orderedthe U.S. Trust Corporation to pay $10million in fines to settle accusations thatit violated bank secrecy laws and failedto keep complete records in a specialtrading unit.

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retrieve. It is interesting to imagine the potential increase in productivity if alldistractions were removed.”

In addition to productivity losses, the Reuters study also points out health ram-ifications of information overload that leads to stress — particularly in the UnitedStates. Information overloaded employees cancelled social events and other socialoutlets where participation would be helpful in the reduction of stress. Respondentsalso reported increased tension.

6: STATUTORY REQUIREMENTS AND CRIMINALPENALTIES

Recently, the management of business records has received close scrutinyfrom news media, legislators, government regulators, stockholders, and others.News events have raised troubling questions about the recordkeeping practices ofU.S. corporations, professional service firms, and other business entities.Examples of widely publicized recordkeeping irregularities include reportedshredding of documents to obstruct justice by Enron Corporation, falsification offinancial statements by WorldCom, judicial sanctions imposed against the WaltDisney Company for destruction of royalty records, allegations that the chiefexecutive officer (CEO) of ImClone ordered the destruction of documents relat-ing to a government investigation of securities trading, and, most famously, thecriminal trial of Arthur Andersen for destruction of audit records.

Relevance of the Andersen Case

The Andersen trial, which led to the sudden and dramatic demise of one ofAmerica’s best known professional service firms, a $9.3 billion company, illus-trates the significance of recordkeeping issues as well as the importance of sys-tematic compliance with record retention policies and procedures.

In November 2001, the U.S. Securities and Exchange Commission (SEC)issued a subpoena to Arthur Andersen for records related to public accountingwork it performed for Enron, the subject of a government investigation for pos-sible violation of federal securities laws. That investigation began in October2001, although the events leading up to it were widely reported during the pre-ceding months. In January 2002, Andersen officials disclosed that the companyhad destroyed a number of records related to Enron audits. The officials said thatthe records were destroyed in conformity with company policy, a policy whichpermitted the destruction of non-essential records relating to specific audits.Andersen officials further stated that the audit records were destroyed withoutcriminal intent before the SEC investigation began and before the subpoena wasreceived.

Federal prosecutors alleged, however, that Andersen destroyed the auditrecords after the SEC investigation had begun and that Andersen officials werefully aware that the company would be asked to produce the records. It is illegalto knowingly and intentionally destroy records relevant to pending or ongoing lit-igation or government investigations, even though legitimate corporate poli-cies—including those related to records retention schedules—would otherwise

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permit such destruction. In March 2002, federal prosecutors charged Andersenwith obstruction of justice for destroying records needed for the Enron investiga-tion. The company was convicted of obstructing justice in June 2002, but consid-erable damage to the company was done before the verdict was rendered. Manyof Andersen’s leading clients withdrew their business shortly after the criminalcharges were announced, and the company drastically reduced its workforce andsold several of its operations to competitors.

What Has Been the Public Reaction to These Events?

The Andersen case and other high-profile incidents involving corporaterecords have provoked a strong reaction from public officials, legislators, regula-tory authorities, shareholders, and law enforcement agencies. Public policy ana-lysts predict extensive revision of legislation affecting corporate financial activi-ties, with greater emphasis on exec-utive accountability. In particular,companies can expect stricter regu-lation and oversight of their account-ing and financial reporting practices,with significant penalties for non-compliance. The Sarbanes-OxleyAct (July 30, 2002) is but the first ofthese regulatory initiatives.

Sarbanes-OxleyThis legislation (2002) represents a new focus on issues related to records and

pushes accountability for proper handling of them (content and management) toa higher level. The law requires:

• CEOs and CFOs to certify personally financial records and reportsperiodically,

• Requires that guidelines for audit committees to be established,• Mandates the retention of all documents relevant to possible govern-

ment investigation,• Audit work papers, which some might argue are not official records,

must now be retained for seven years

The act also provides for executive-level criminal penalties: CFOs and CEOsfalsely representing company financial status may be fined up to $1 million andsentenced to prison for up to ten years. Willful violators may be fined up to $5million and spend 20 years in prison. Sec. 802 of the Act specifies that anyone

“Utilizing a system of record keepingwhich conceals rather than discloses ormakes it unduly difficult to identify orlocate them is the functional equivalent ofdestroying records. “

Sears vs. Kozlowski

who knowingly alters, destroys, mutilates, conceals, covers up falsifies, or makesfalse entries in records or documents is liable for fines and up to 20 years in prison.

While Sarbanes-Oxley is the first major piece of legislation to penalize uppermanagement directly, there is also case law pointing to managerial culpability.For example, in Danis vs. USN Communications, the CEO was faulted for notensuring that a comprehensive records retention plan was developed and imple-mented, failing to ensure that records retention directives were followed, delegat-ing records responsibilities not to a records manager but to an in-house attorneywith little knowledge of or experience with records issues, and failed to notifystaff of imminent litigation such that the documents would be preserved. This isfast becoming an era when you say what you do, you do what you say, and youmake a record that you did it.

• Under the Sarbanes-Oxley Act, there is a focus on the protection ofwhistleblowers:

• Employees who file or assist in proceedings involving alleged viola-tions of Securities and Exchange Commission (SEC) rules may not beharassed or terminated.

• SEC-subject companies may not discharge, demote, suspend, threaten,or harass an employee who has reason to believe that SEC rules arebeing violated and assists in providing information or evidence ofmalfeasance.

In both cases, the whistleblower might be turn out to be records specialistssince they, more than others within the organization, may become aware of inap-propriate behavior or suspicious patterns in recordkeeping functions.

Rules stemming from the Sarbanes-Oxley Act concerning records retentionpractices were issued by the SEC (e.g., 68 Federal Register 4861 [January 30,2003]). Someone, presumably the records manager, keeps track of newly prom-ulgated regulations and puts them into corporate practice via new procedures. Itis clear that chief executives are asking more questions and requiring more infor-mation from line managers. Some have initiated internal certification processesin which managers attest to the accuracy of their own reports. The consequenceof this new direction is a reformed vision of the significance of records.

The SEC’s section 17a-3/4 (and NASD 3010/3110) took effect May 12, 2003. These requirements apply to financial institutions generally and to brokerage

firms and anyone else dealing in securities overseen by the SEC. These rulesrequire, among other things,

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• Storing data on non-rewritable media (e.g., WORM [Write Once ReadMany]),

• Ability to automatically verify the quality and accuracy of the storagemedia process,

• Written and active records retention policies,• Storage of data—second copies—off site with a third party,• Searchable indexes of records on and off site,• Searchable index of all data, and • Easily retrievable data.

Some records are to be maintained six years after the closing of any cus-tomer’s account. The third-party requirement has important implications for thecommercial information storage industry.

Spoilation Principle

A legal principle of importance in Sarbanes-Oxley is that of spoilation. Thelegal tenet of spoliation (destruction, alteration) of evidence is that “all things arepresumed against a despoiler or wrongdoer” (Black’s Law Dictionary). So, anydestruction or alteration (e.g., forgery) or failing to preserve records for anotherparty’s use in litigation (current, future, or potential) is grounds for adverseinference in court and is subject to possible penalties, including a summary judg-ment against the guilty party (see Carlucci vs. Piper Aircraft, below). A relatedproblem is the corruption of electronic data, even with no malice involved. If ,for example, records on magnetic tape or optical disk became unreadable, thefault would lie not at the feet of the plaintiff seeking such records but with thosewho, possibly, failed to maintain records in a storage environment meeting wide-ly accepted standards for climate control (e.g., ANSI IT9.23-1998). A court couldapply penalties in such cases.

The U.S. and the Shifting Regulatory Environment

Each year at state and federal levels, dozens of new laws are enacted and hun-dreds of new regulations are added to existing statutes that incorporate recordsrequirements. Records managers must find ways to keep track of those that affecttheir type of organization. At the federal level, regulatory agencies issue newrequirements and changes in recordkeeping requirements meant to achieve com-pliance with statutes. These are first published in The Federal Register (a dailypublication of some 70,000 pages a year). Regulations accumulate in the Code ofFederal Regulations, which comprises some 250 volumes a year, each 600-750pages in length. Administrative rulings from agencies, revenue rulings, may be

little publicized but must be tracked. At the state level, new laws and regulationswhich can affect businesses as well as government agencies also crop up by thehundreds. Companies doing business in more than one state must factor in thevarying retention requirements in each state. Records managers must also keepabreast of those new federal laws, or statutes, which appear in the United StatesCode (USC) that may have records implications—and those at the state level aswell. A recent case in point is the Sarbanes-Oxley Act.

Statutes of Limitation on Action

These statues, which vary from state to state, do not themselves requirerecords retention. But records, especially contracts, should be reviewed as to thenumber of years for which action (e.g., litigation) may be brought. If the statuteof limitations in a given state is six years, then retaining contracts for the currentyear plus six years would be sound retention policy; in Maryland there is a three-year statute on limitations, and so a different retention decision may emerge.

IRS

Another source of regulation of records practices is the Internal RevenueService (IRS). Beginning in 1998, “Revenue Procedure (Rev. Proc.) 98-25.”Taxpayers are allowed to maintain records in electronic formats. Companiesmust be able, however, to provide “sufficient information to support and verifyentries make on the taxpayer’s return.” If there is any question about the accura-cy of the electronic records, the taxpayer must be able to supplement the elec-tronic records with hardcopy records and be able to document the process underwhich the records were created and maintained. This means that detailed descrip-tions are required for the record format(s) used, descriptions of the various fieldsin the record, showing how the indexing system works, monitoring to showmaintenance checking, and reconciliation of the electronic records and the tax-payer’s ledgers. Rev. Proc. 98-25 also requires appropriate labeling, a securestorage environment (e.g., fireproof, humidity/temperature controlled), selectionof an offsite storage facility, and the means to ensure data integrity. Loss of datamay sanctioned with penalties by the IRS. While there are legal and technologi-cal issues at play, this is yet another example of the need for knowledgeablerecords managers and commercial information management providers.

Fines for Inadequate Records

Businesses and other types of organizations face hefty fines for inept record-keeping. For example, failure to properly document recordable injuries and ill-

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nesses over the past three years resulted in a $536,000 proposed penalty for aTexas pipe manufacturer. One of the nation’s largest credit-rating agencies,Moody’s Investors Service Inc., plead guilty to destroying documents it was sup-posed to turn over during an antitrust investigation. The agency was ordered topay a $195,000 criminal fine according to the Justice Department. Five largeinvestment houses were fined over $1 million each because they failed to pre-serve e-mail for three years as required by the SEC.

Cases of Confusion

Often the laws and regulations still lead to misunderstanding. At the person-al level, most people believe they must retain their tax returns for seven years. Infact, returns in most cases may be audited only within three years of their filingdate (IRS Code § 6501).

Different federal agencies may have different retention regulations that applyto the same record. In that case, the retention is for the longer of the two periodsrequired. In some cases, Maryland, for example, there is a requirement to keeprecords but without stating how long they should be kept. Where there is arequirement to keep but no specification as to the retention period, some organi-zations apply a “three-year default” retention if neither law nor common senseindicates otherwise.

Some confusion also exists about an assumed difference between personaland corporate records. If the document has anything whatever to do with one’swork, it qualifies as a corporate record and is not protected by the FifthAmendment, which accords privilege against self-incrimination to persons, notorganizations. One’s day planner, for example, may contain personal appoint-ments. This, however, is not enough to keep it from being part of a documentproduction list. The same principle applies to what we often consider our “per-sonal” files, those kept in or near desks, and it extends to rolodexes, businesscards received, call return slips, and small notebooks carried in one’s pocket. Auniversity president’s alteration of barber and dental appointment records in hiselectronic calendar provided evidence in a felony investigation of improper andpersonal use of university resources.

Case Law

Ultimately, records managers must be aware of—and communicate to oth-ers—the statutory and regulatory bases for determining the length of the reten-tion period assigned to each records series. Hundreds of records related require-

ments at the federal and state levels change each year, so tracking these changesare important. In addition to statutes and regulations, there is a considerableamount of case law that has shaped thinking about records retention issues (seeDonald Skupsky, Law, Records, and Information Management).

A case with an important focus on records management is Carlucci v. PiperAircraft Corporation (102 FDR 472 [1984]. In this case, a wrongful death suit, asummary judgment in the amount of $10,000,000 was made primarily becausethe court found that Piper had wrongly and deliberately destroyed records (“spo-liation”), records which Piper would reasonably know that they would likely tobe required to produce during the discovery phase of litigation. This is an exam-ple of how case law has influenced thinking about effective management ofrecords. It shores up, for example, how important it is to have in place an effec-tive records management program. The records called for by the plaintiff prob-ably would not have caused Piper as much harm intact as they did by beingdestroyed. Perhaps, this was a $10,000,000 risk management blunder.

Public companies are now under intense scrutiny to verify the authenticity oftheir financial records and accounting transactions. These companies, and privatecompanies who may have equity partners exerting similar pressures, must turn torecords and information managers in order to verify the validity of records, locatekey supporting information, and to provide key information to auditors who seekto authenticate prior work. In this environment of high pressure and scrutiny,records management effectiveness and efficiency will be tested through use. Thegood news is that a realization of the value of records and information manage-ment can benefit an organization through a critical role: restoring investor andstakeholder trust.

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7: RISK MANAGEMENT

In addition to the economic model (e.g., cost reduction, cost avoidance, effi-ciency, productivity, and effectiveness), another approach to the value of recordsmanagement is in the area of risk management. Much of the discussion abovesuggests how critical risk-management strategies can be. Essentially, risk man-agement is the continuous, cost-effective organizational process of identifying,controlling, and mitigation (or elimination) of vulnerabilities in legal, economic,and behavioral factors. As to its processes, risk management includes risk analy-sis, cost-benefit analysis, and security evaluation. Clearly, a continuous, profes-sional-level effort in records management supports regulatory, legal, and auditchallenges and supports the authenticity of the organization’s recordkeepingpolicies. To gain such benefits, Edwin Dietel, an attorney who evaluates recordsand information programs from a risk-management perspective, points out sev-eral corporate records management commitments that must be made to get thenecessary results. He advises organizations to:

A. Create a Comprehensive Records Management Program.

Records management initiatives should not be undertaken either piecemeal orrandomly and should be developed and documented and tested well in advanceof any foreseen need. Each piece of the program should be undertaken as a partof an overall, comprehensive integrated program. To “whip up” a records reten-tion policy and yet have no implementing procedures or management-endorsedrecords retention schedules for all records would prove laughable in an adversar-ial proceeding. (A list of records management activities or functions is treatedunder Functions of Records Management, above.) Once a program is in place, itmust be reviewed for both compliance and utility.

As Dietel suggests, an organized and systematic corporate records manage-ment program offers the organization an opportunity to deal with invaluable cor-porate information as it does with other valuable corporate assets, such as its cap-ital, equipment, people, trade secrets, and good will. The first step is to “drain thecorporate records management swamp” so that the playing field is usable.

A key to creating and improving an effective program lies in acquiring andmaintaining the leadership of a records manager whose credentials and experi-ence are appropriate. The criteria here for candidates may include a four-yeardegree in management or business administration, several years of professionalexperience, and, perhaps, being a Certified Records Manager (CRM). An orga-nization’s lack of experience with the title and work of records managers some-

times leads to the erroneous impression that they do filing when, in fact, they cre-ate filing systems and taxonomies—and more—for use by everyone in the organ-ization.

B. Develop an Evaluation Program.

As Dietel notes, an evaluation focuses on whether organizational policy right-ly and logically are appropriated to the organization’s records managementneeds. Are the proper records management processes and procedures being used?Such an evaluation might be determined by benchmarking with other organiza-tions, keeping current with the literature of the field, attending educationalevents, or by comparing the program to the elements of ISO 15489 (discussedbelow). When a commitment is made to constantly improving records manage-ment program, it may help to create a competitive advantage.

C. Develop an Audit Program.

An audit examine whether those tasked with managing information assets arefollowing the records management procedures the company has established. Forexample, are records being filed as prescribed in the organization’s file guide andrelated policies? Are records being consistently destroyed in accord with thecompany records retention schedule (the point is missed if only paper versions ofa record series is destroyed and the digital copies left in place)? Are staff per-forming their records management responsibilities correctly?

D. Place the Records Management Program Effectively in theOrganization

Depending on the type of organization, records management may be found inlegal services, management and audit, administrative services, or informationservices. The head of this unit should have middle-management status and reportto a high level, such as the Chief Information Officer, Chief Legal Officer, oreven the CEO. This latter placement becomes more likely as the implications ofSarbanes-Oxley begin to dawn on senior management, who must, often for thefirst time, take an active role in records management issues and not merely pro-vide some resources and tacit support. Records management is likely to find newchampions in the highest ranks in the organization.

At the same time, consideration of appropriate delegation of roles is impor-tant. Putting an attorney in charge of records management is just as wrong asputting a records manager in charge of the legal department. When handled in an

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informed way, senior management will make effective delegation of roles suchthat, for example, records management will do the managerial and specializedlegal research for each records series, and the organization’s counsel will reviewand endorse it. In a similar way, records management and InformationTechnology (IT) will work together on computer-based systems so that issuessuch as records retention requirements will continue to fall under records man-agement while IT more purely technological needs. It would be foolish to have ahigh-quality retention program and yet allow IT staff to claim that deletion ofobsolete records does not apply to records on computers.

E. Integrate Records Management Initiatives withTechnological Innovations

Information technology can greatly facilitate the sharing of information, yetpeople can be easily inundated with too much information. At the other extreme,people may not be able to find the work of an associate in the next office. Pre-positioned, organization-wide information technology with workable organizingschemes (often called taxonomies—discussed below), discussed below, must bein place for effective retrieval: the right information at the right time for the rightperson.

In recent years, much of the IT focus has been on electronic document man-agement systems. Recently, however, vendors have recognized the criticalimportance of building records management requirements into their systems.Technology is emerging that provides modules to handle retention and relatedrecords issues.

F. The Vital Records Program: A Risk ManagementImperative

Managers are responsible for the enhancement and protection of all the orga-nization’s assets. The creation of a vital records program may prove to be a keybusiness asset to the organization’s very survival and should be a prominent partof any organizations’ business continuity plan. Some know the term “vitalrecords” as referring to public records of births, deaths, etc. In records manage-ment, however, “vital records” are those that are fundamental to the functioningof an organization. Certain vital records contain information critical to continuedoperation or survival during or immediately following a crisis (e.g., fire, flood,earthquake). Such records are necessary to continue operations under abnormalconditions. They contain information necessary to recreate an organization’slegal and financial status and to preserve rights and obligations of stakeholders,

including employees, customers, investors, and citizens. Some vital records maybe unique and not easily reproducible, or the cost of reproduction or replacementmay be considerable. Some records may be required in their original form tomeet evidential requirements. Records should be classified as vital only for aslong as they support critical business processes and fulfill the requirementsdescribed above. Once they have fulfilled this role, they should be reclassified.(Detailed information about vital records programs is available in ANSI/ARMA5-2003: Vital Records Programs.)

It is widely understood that the organizations that lose their vital records arein grave jeopardy. As many as 90% of businesses with lost vital records areunable to continue in business. All the more reason to develop a vital records pro-gram. As suggested in ANSI/ARMA 5-2003: Vital Records Programs, this pro-gram should provide:

• Lists of all records identified as necessary to protect assets, protectlegal and financial status, preserve rights of . . . stakeholders, andensure continuity of business operations,

• Procedures and practices to be followed to protect these records, and • Procedures to permit effective use of selected records in an emergency.

Normally, vital records will constitute only 5%-7% of the total volume ofrecords, but clearly they would prove to be among the most critical to the opera-tion of an organization. Among the most important activities in developing thevital records program would be:

• Creating a list of all records that qualify as vital records (e.g., paidinvoices, accounts receivable, corporate charters),

• Development of strategies to protect the records identified as vital(e.g., copies sent offsite, microfilm sent offsite, dispersal of copies innormal course of business, media tape rotation or automatic electronicvaulting for storage in a data vault (corporate or external vendor), and

• Make copies of unique vital records and retain onsite while sendingoriginals to an offsite records management company or media vault(ANSI/ARMA 5-2003: Vital Records Programs).

In addition, the management of vital records—including use of computerback up tapes and microfilm masters—is made more secure by redundancy. Ifcopies of these materials exist at a remote location, the effects of a fire or otherpotentially catastrophic event can be more easily overcome. Since events likearson or data sabotage are often initiated by disgruntled or recently terminated

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employees, a third party vendor is frequently employed to preserve vital recordscopies or originals. This third-party storage strategy is getting increased attentionsince federal regulations increasingly require it for some records types.

Helpful Hints:

1. Are you storing your records correctly? Are records located in basementareas or under water pipes that may be prone to flooding? Are the recordsprotected against fire? Your commercial information managementout-source partner can help you determine whether some records may be atrisk and can provide effective services to lower cost, minimize risk, andaid in business continuity planning.

2. Are your records policies and procedures clearly defined? Do those poli-cies and procedures provide for the auditing of the records program toensure compliance? Are employees trained in proper procedures for sub-mitting records along with the appropriate documentation?

3. Are computer backup tapes, vital paper records, or copies of tape or disklibraries located away from the originals? Too many people store backupsof their PC’s files onto a disc kept in a drawer of the desk on which theircomputer is placed—not helpful in the event of a fire or flood.

4. Are restricted records such as personnel files or protected health informa-tion shielded from unauthorized viewing and locked when not in use?

5. Is a copy of your disaster recovery plan located away from company facil-ities, but quickly available, in case the primary facility should becomeinaccessible?

6. Are you using a “clean desk policy” to make sure active records and infor-mation are removed from desk surfaces after hours? This provides severalbenefits, including minimizing unintended viewing of potentially sensitiveinformation by cleaning personnel, unauthorized employees, or otherswho may gain entry to work areas.

8: DATA MINING, KNOWLEDGE MANAGE-MENT, AND A RECORDS MANAGEMENT STANDARD

Records managers are concerned withdifferences in what has come to be calledthe information hierarchy. Below is agraphic depiction of this hierarchy: Dataare typically seen as the raw material, orbuilding blocks, of information. Thisdata means little by itself. The data mustbe processed, analyzed, or organized inorder for it to be meaningful. When datais formatted, correlated, or plotted, itbecomes—or rises to the level of—infor-mation. These have greater value in deci-sion-making and the performance and strategy of an organization.

Compared to data, information is a meaningful message—often within adocument or other tangible communication. Because it reduces uncertainty, onecan take action from information or make decisions based on it. A piece of infor-mation—recorded information for our purposes—has limited value until manyitems of information can be acquired, evaluated, compared with other informa-tion, and put into the context of experience and judgment. At that point, infor-mation becomes knowledge. There we are focusing on the cognitive realm—including intuition—that may include the generation of new ideas, new interpre-tations, and possibly new products. Yet, this knowledge may be somewhat lim-ited until it is synthesized and visualized at the level of understanding. Whetherwisdom should represent the next level in this structure remains to be seen,though some have suggested that it—or perhaps values—should be next in order.

Where do records fit into this model and why should we be interested? Somesuggest that “a” record can be nothing more or higher than data—with little valueon its own. Others assign a higher value to individual records, suggesting thatcertain types of records have enough information content within them to have ahigher status than mere data. Records have their value as records when they doc-ument an action or transaction. At some point in time after the transaction, theyrapidly lose value and are kept mostly because of their retention requirements.

The emergence of knowledge management, however, may give new value to

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what had seemed to be lifeless records. Records used for one purpose—usually todocument a transaction—may be re-used, or recycled, and used in some other way.In the pharmaceutical industry, for example, a compound may be developed to cre-ate a medicine for a particular ailment and not prove itself of value for that problem.Yet the research records created from that earlier initiative is often revisited, and newexperiments emerge to see if the drug has value for some other condition. When thefirst effort fails, the records of that effort gain new life and value. In this context,records become competitive weapons and revenue generators.

In his The Value of Records Management: A Manager’s Briefing, WilliamSaffady declares that “Systematic recordkeeping practices confer competitiveadvantages that can increase revenues in some business situations. Recordedinformation is a critical supporting element in value chain activities associatedwith the creation, marketing, and delivery of products and services. All value-chain activities depend on information contained in paper documents, computerdatabases, and other records. Although information-processing technologiesattract considerable attention, recorded information itself is the real value carrierin most business operations.”

Introducing ISO 15489: An International Standard

In September 2001, an important milestone was achieved in standardizingrecords and information management practices around the world. An internation-al standard, initiated by records management standards organizations inAustralia, and through the cooperative technical committees of the InternationalOrganization for Standardization (ISO), culminated in the creation of an interna-tional standard for records management called ISO 15489: Information andDocumentation—Records Management. A further document, “DIRKS: AStrategic Approach to Managing Business Information,”2 has also been createdby the National Archives of Australia as a potential resource to records managersaround the world in their implementation of ISO 15489.

The scope statement of ISO 15489 states, “This International Standard pro-vides guidance on managing records of originating organizations, public or pri-vate for internal and externalclients.” It adds, “The standardiza-tion of records management policiesand procedures ensures that appro-priate attention and protection isgiven to all records, and that the evi-dence and information they contain

“One of the strengths of [ISO 15489] isthat it focuses on the business interests ingood records management and provides astrategic and holistic approach to it.”

Sarah Tyacke, Keeper of the Records,Public Records Office, UK

can be retrieved more efficiently and effectively using standard practices and pro-cedures.” This standard, along with the DIRKS Manual and other resources, canprovide key substantiation for changes in records management policies whencommunicated to appropriate management personnel.

• Among the benefits of implementing ISO 15489 noted by RobertMcLean are

• Conducting business in an orderly, efficient, and accountable way,• Delivering services in a consistent and equitable manner,• Documenting policy formation and managerial decision-making,• Providing continuity in case of a disaster,• Meeting legislative and regulatory requirements including archival,

audit, and oversight activities,• Providing consistency, continuity, and productivity in management,• Facilitating effective performance of activities throughout the organiza-

tion,• Providing protection and support in litigation, including the manage-

ment of risks, associated with the existence or non-existences of organ-ization activity,

• Establishing business and cultural identity,• Protecting interests of the organization and its stakeholders, and• Maintaining corporate, personal, and collective memory.3

Any organization seeking or having ISO 9000 certification should look close-ly to ISO 15489 as direct support to their ability to demonstrate compliance withthe “quality records” and other information requirements of the ISO 9000 series.

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2 Designing and Implementing Recordkeeping Systems (DIRKS): Manual for CommonwealthAgencies (National Archives of Australia).3 Robert McLean, “The Business Case for Implementing ISO 15489,” Records Management Bulletin,Issue 115 (August 2003), 7-12.

SECTION II: IMPLEMENTATION

9: ISO 15489 AND CLASSIFICATION SYSTEMS

Because lack of records capture and retrievability are such critical compo-nents of records and information management, special care must be given to sys-tems design that will promote and enhance both areas. The records classificationsystem, or file plan, requires much thought, communication, and planning inorder to maintain language familiar to employees who are generating the recordsand who will be eventual requesters of centrally managed information assets.

AS 4390 (predecessor to ISO 15489) defines the benefits of a good classifi-cation scheme as “1) providing linkages between individual records; 2) ensuringrecords are named in a consistent manner over time; 3) assisting in the retrievalof all records related to a particular activity; 4) determining appropriate retentionperiods for records; 5) determining security protection appropriate for sets ofrecords; 6) allocating user permissions for access to or action on particulargroups of records; and 7) distributing responsibility for management of particu-lar sets of records.” (This list is somewhat expanded in ISO 15489.) Clearly theimportance of a good classification system cannot be understated since manycritical components of insuring record authenticity and access hinge on its designand implementation. Any product whose vendor asserts that in his system “therecords index themselves” should be closely questioned.

In designing (or redesigning) a classification system, one of the first pieces ofcritical information is an understanding of terminology. Some records systemsemploy a thesaurus to assist in information retrieval and classification. Thedevelopment of this document starts with many questions.

Helpful Hints:

1. Talk to employees to gain an understanding of what types of words andphrases are actually used to describe business activities, reports, forms, ortransactions.

2. Track the way information is currently requested, then compare thoserequests to current descriptive information captured when records areaccessioned.

3. Locate resources that may identify sets of common industry terms in usewithin your organization and others engaged in the same type of work.(Incorporating those terms, even if they are not yet widely used withinyour organization, may assist greatly in incorporating records inheritedthrough mergers or acquisitions.)

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ISO 15489 and the Audit Trail

An element that has received recent scrutiny on Wall Street and elsewhere hasbeen the preservation of an audit trail. This term, though commonly associatedwith accounting, is not necessarily financial in nature. Rather, it may also be usedto describe the tracking of document versions, persons who had access to certaininformation, or when alterations were made to information and by whom. In theirGuidelines for Ensuring the Long-Term Accessibility and Usability of RecordsStored as Digital Images, the State Archives and Records Administration of NewYork provides the following comments regarding audit trails: “Effective audittrails can automatically detect who had access to the system, whether staff fol-lowed existing procedures, or whether fraud or unauthorized acts occurred or aresuspected. Software is available for keystroke monitoring, time and date stamp-ing, virus detection, and other controls that can be built into the design of sys-tems.” While this reference is specifically geared toward digital images, the samegeneral principles apply to paper, microfilm, or electronic records.

Structuring an effective audit trail involves many elements that require coor-dination. Some systems design requirements mandate that metadata be capturedalong with the record itself. In fact, ISO 15489 also calls for this approach whenoutlining principles of records management programs: “Organizations shouldinstitute and carry out a comprehensive records management program whichincludes determining what metadata should be created with the record andthrough records processes and how that metadata will be persistently managed.”Software structures may make the automation of this function transparent to theuser, but in the case of manual systems a little planning can go a long way.

Helpful Hints:

1. For paper documents make sure to utilize the resources available to youthrough your offsite commercial information management partner. Bar-code tracking systems, work orders, and other documentation may assistin providing a record of which employees or departments were requestersof information and when.

2. Where the contents of some items in storage may not be known, your com-mercial information management partner may provide indexing services toverify the contents of stored items that may have been inherited throughmerger or other business activity.

3. A visit to your IT department may provide a surprising array of underuti-lized software features designed to create an audit trail. Example:Microsoft Word™ provides a “version” option under the file menu, as well

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as “title,” “author,” “manager,” “keyword,” and “comment” fields underthe “properties”option.

ISO 15489 and the Thesaurus

The DIRKS Manual and its related appendices provide a wealth of infor-mation regarding the implementation of a systematic records program. TheDIRKS method suggests the creation of a business classification scheme andusing this information to drive the creation of a functions thesaurus. The manu-al outlines a five-step process for the development of a business classificationscheme, as follows:

• “Collect information from documentary sources and interviews,• Analyze the work performed by the organization,• Identify and document each business function, activity and

transaction,• Develop a business classification scheme based on a hierarchy of busi-

ness functions, activities and transactions, and• Validate the analysis of the organization’s business activity with senior

management.”

Rather than starting from scratch, DIRKS recommends looking for othertypes of business analysis that may already exist within the organization, such asbusiness process re-engineering, quality certification, workflow analysis or othertypes of documentation. The DIRKS concept embodies the principle that recordsmanagement should be integrated into everyday business practices. The develop-ment of the business classification scheme provides greater understanding ofthose business processes and how records management functions can be incorpo-rated.

DIRKS identifies four key “relationships” that incorporated into a thesaurus:“Equivalence (preferred and non-preferred terms), hierarchy (“glass” is broaderthan “wine glass”), association (establishes non-hierarchical relationships), andscope notes (provides guidance and clarification). The manual goes on to identi-fy types of abbreviations and the arrangements of those relationships. This infor-mation is accessible online at www.naa.gov.au/recordkeeping/. In creating thethesaurus, concepts such as standard terms, preferred terms, synonyms, broaderterms, narrower terms, and finding aids can be incorporated.

ISO 15489 presents a number of key principles of records management pro-grams. Among them are, “Assessing the risks that would be entailed by a failureto have authoritative records of activity; ensuring that records are maintained in

a safe and secure environment; and identifying and evaluating opportunities forimproving the effectiveness, efficiency or quality of its processes, decisions, andactions that could result from better records creation or management.” These,when taken with other critical records management principles, comprise the coremission of the records manager.

Records Classification Systems: Identifying the Record Series

The National Archives and Records Administration (NARA) offers the fol-lowing definition of a record series: “a series is the basic unit for organizing andcontrolling files. It is a group of files or documents kept together (either physi-cally or intellectually) because they relate to a particular subject or function,result from the same activity, document a specific type of transaction, take a par-ticular physical form, or have some other relationship arising out of their cre-ation, receipt, maintenance, or (in the case of Federal Government records) use36 CFR 1220.14. Each record series must be scheduled for appropriate disposi-tion. The series concept is a flexible one, and programs should create series byorganizing documents in ways that facilitate management of the records through-out their life cycle. For example, each record series in hard copy should be phys-ically separated from all other record series. Electronic records should be man-aged in ways that link records to their disposition authority within the context ofa recordkeeping system.”

Information that is organized by record series assumes the identification ofthe particular subjects, functions, activities, transactions, etc. as noted in theNARA definition. Records managers might use any number of methods includ-ing records surveys, inventories, or interviews with business units. Once identi-fied, the titles of the various records series are then arranged into an index ofrecords series to aid in the retrieval of information. Many central records depos-itories require departments depositing records to provide extensive informationon any new records series. The State of North Dakota, for example, asks therecords owner to provide the name of the records series, as well as detailedinformation about the medium used to store the information. A copy of North Dakota’s form SFN-2042 is available online at:http://www.state.nd.us/itd//records/forms/SFN2042.pdf. Another version usedby the National Archives of Australia is also available online at:http://www.naa.gov.au/recordkeeping/disposal/transfer/NAS234.pdf.

Once each record series is defined and indices or other finding aids are creat-ed, the series is then managed according to the system design methodologiesselected by the records manager. Each records series may be assigned a numeric

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value, an alpha-numeric value, a subject label, etc. Here are some handy tips foridentifying records series in your operation:

• Survey records creators to determine the type of information, its pur-pose, other similar types of information created, and how the informa-tion is typically organized.

• Determine from the records owner how they will be asking for theinformation and what the information is called. (This might includeintra-company jargon for certain forms, contracts or transactions.)

• Use forms or other data gathering devices, wherever possible, to guidethe records creator in providing as much descriptive data as possibleabout the records.

• Use cross-references in the index that refer to intra-company slangterms. In other words, think like a records requester when providingcross-references and other finding aids.

10: RETENTION SCHEDULING

The complete records inventory is an important foundational step in anyrecords management program. What organization could claim to manage itsmotor pool if it did not know how many vehicles it had, what kinds there were,where they were located, how they were used, when they were serviced? Surely,every HR director knows how many employees the company has in each of sev-eral classifications. The records inventory helps to treat recorded informationlike other assets that require data on location, numbers, types, uses, etc. Theinventory specifies how many records series there are, what the volume for eachseries is (active, inactive) normally in cubic feet, what conditions are the recordskept in, who uses the records and for what purposes, who removes records andwhy, how often are active and inactive records used, duplicates if any, , formats,related records series, the office of record, status as vital record (see list of mas-ter retention data, below).

All records within the organization—regardless of media or location—mustbe identified so that records management principles, practices, and techniquescan be applied and full benefits achieved. This is done through the one-time, sys-tematic, and comprehensive records inventory. After a consultant prepares anoverall plan of action acceptable to senior management and a records managerhas been employed to develop the program, the inventory becomes the first stepin mounting the records management program and its services. The inventory isa listing by department and then by records series of all information resources inthe organization. It shows all locations of records (both active and inactive), indi-cates current and projected annual volumes, the point at which records becomeinactive in the office or origin, whether the information in the records found isduplicated elsewhere in the organization, what space recoveries are projectedwhen obsolete records are removed, opportunities for application of appropriatetechnologies, and whether some records overlap with or duplicated records cre-ated elsewhere in the organization.

Findings from the detailed records inventory create an important profile foreach records series and enable analysis of each records series for several purpos-es beyond the inventory. First is the creation of records retention and disposi-tion schedules, the heart of a records management program and a key organiza-tional contribution. Research, interviewing, and consultation of others in theindustry feed into appraisal of each records series for retention purposes. (Unlikeappraisal of the financial values of objects, this appraisal is for the purpose ofretention decision-making.) (See Appendix 4 for a sample of a completed reten-tion schedule.) What does research of laws and regulations reveal about the min-

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imum amount of time the record must be maintained? Based on internal inter-viewing and standards in the industry, what is the optimal length to meet mana-gerial needs?

Master retention schedules will often include:

1. Name/title of the record series.2. Records retention code showing staff receiving the records at the

records center that the records series has been assigned an agreed-upon schedule (unscheduled records are often not accepted for stor-age).

3. Brief description of the series and notation of any other recordsseries to which it is related.

4. Other offices in the organization, if any, which contribute any dataor information to the record series, noting the nature of that infor-mation—this may affect the final retention decision.

5. Total number of years records must be retained.6. Number of months or years scheduled for use and maintenance of

the record series under active use in the originating office.7. Maximum number of years record should be retained in any office

other than the office of record.8. Whether the record series is a vital record needed for rapid recov-

ery of business in the event of a disaster and off-site location wherebackup copies are being kept.

9. Total number of years record series is scheduled for retention andservice at the records center (in-house or offsite commercialrecords center).

10. Whether record series has been (a) appraised to have archival (his-torical, informational, legal, fiscal) and permanent value (b) is to betransferred to the company archives (or other location), (c) at whatpoint in time.

11. Whether record series is to be microfilmed or imaged (or otherwiseduplicated) prior to destruction and at what point in the records’ lifecycle.

12. If records are to be destroyed, indicate whether the records is sen-sitive, confidential, or privileged and then the destruction appropri-ate method to be used (e.g., cross-cut shred on site or by commer-cial document destruction firm or ribbon-shred onsite by internalstaff or off site by commercial destruction company)

While the master retention is not widely circulated, a shorter form of theretention schedule is disseminated to all offices as a guide to compliance but pro-vides information as well about locations of records, responsibilities for theirmaintenance, which office is the office of record. Normally, the records manage-ment office uses all of the data from the master retention in scheduling recordsto come to the records center and the point of their ultimate disposition.

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11: FILING METHODOLOGIES AND EQUIPMENT

In records management, as in many other disciplines, there are many differ-ent types of filing and information organization systems. Two basic approach-es—alphabetical and numeric—continue to form the backbone of filing systems.Alphabetical filing systems are very frequently used. Two common approachesare to file by the last name of an individual or the name of a company. Filing sys-tems may also be designed to file alphabetically by subject. Filing systems bylast name might be applied to personnel files, customer files, or vendor files. Analphabetic file can support a geographic filing system as needed (e.g., by state orcountry and further subdivided by “customer” or “sales representative,” etc.) Anindex or filing guide is optional in this method, but should be used when subjectfiling, since employees will need guidance in placing files under the proper cat-egory. (Example: would a copier lease be filed under “Legal” or under “Vendor.”Those types of distinctions should be articulated in the index and updated asneeded.

Natural order systems are groupsof files that seem to indicate theirown organizational grouping.Purchase order files might indicate anumerical order, even though analphabetical subject filing methodmay be in use elsewhere.

Chronological filing systems are based upon a key date. A very commonexample of a chronological filing method in widespread use is a “tickler file,”where items are placed in folders labeled with a date, month, or year, and arerecalled when the corresponding folder is opened. Invoices, hotel group meetingdocuments, or deposit files are all samples of items that might be filed chrono-logically. Sometimes one filing method can be used within another method.Depositions might be filed under a client matter number, for example, where anumerical system might be used first, and then a chronological system.

A widely used filing method is the numerical method. Law firms frequentlyfile under a client matter number. Another very familiar method of numerical fil-ing is the Dewey Decimal System in use at libraries. Numerical filing methodsare also used when file subjects must remain shielded – in the case of medicalrecords that contain protected health information, for example. Numerical filingsystems can also be combined with alphabetical systems such as subject files,which might use the first three alpha characters of the subject and then number

Six percent of PCs will suffer an episodeof data loss in any given year; each inci-dent costs and average of $2,557 to fix,including costs such as retrieving andrecovering the missing information, lostproductivity, technical services, and thedata’s average value. David Smith, “TheCost of Lost Data Report”

corresponding files in sequence (e.g., “PER [personnel] 1,” “PER 2,” etc. fol-lowed by subtopics such as “benefits” or “training.” Numerical methods are alsopopular because each file number is unique.

“Terminal digit filing” is a specialized type of numerical filing. This type offiling method is frequently used in hospitals and other large file rooms in orderto provide for an equal growth and activity level across the entire work area.ARMA International’s Glossary of Records and Information Management Termsdefines terminal digit filing as “a system of numeric filing using the last two orthree digits right to left of each number as the primary division under which therecord is filed.” This method is very helpful for very large filing areas or forrecords that are frequently purged, leaving gaps in other file groupings.

Handy Tip:

To use a terminal digit method:

• Divide the filing area evenly into 100 sections numbered 00 to 99.• Assign sequential numerical values to each file• Read numerical sequences from right to left in groups of two digits• File in the corresponding numerical section of the filing area.

Natural order filing systems are groups of files that seem to indicate their ownorganizational grouping. Purchase order files might indicate a numerical order,even though an alphabetical subject filing method may be in use elsewhere. Thisillustrates one of the most important considerations in deigning a filing system:keep the system as simple as possible. The easier it is to train employees to usethe system effectively and accurately, the more effective the system will be. Thisis especially important when considering the cost of a misfile. The Oregon StateUniversity Archives Handbook states “14% of all files are misfiled at some pointduring the information lifecycle and at a cost of $165 per misfile.”

Filing Equipment

The primary directive of the filing of information is the functionality ofretrieval. Regardless of the type of filing equipment selected, this axiom holdstrue. Without effective retrieval of information, the type of equipment selecteddoes not matter.

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Letter Versus Legal

An important issues in records management has been the question of the effi-ciency of letter versus legal sized forms (sized (14 inch/ approx. 35 cm). Here aresome important considerations regarding legal sized files versus letter-sized files.

1. According to the website of the United States Environmental ProtectionAgency, Legal-size file cabinets cost 13 percent more than letter-size for theupright variety and 28 percent more for the mobile or hanging file cabinets.

2. Legal-size file cabinets require 16 percent more floor space than letter-sizecabinets.

3. Supplies for legal-size equipment cost more than letter-size equipment.4. Within the U.S. government, legal-size files require 20% more space (on

average) to store offsite.

It is important to note that a standard records carton used by the offsite com-mercial records industry is designed to hold either legal size or letter size files (ofcourse a carton will hold more letter size files than legal size files). ARMAInternational (Association of Records Managers and Administrators) was instru-mental in its opposition to legal paper usage, to the degree that they sponsored aninitiative called ELF (Eliminate Legal-size Files) to encourage the abandonmentof legal sized paper and file usage

Space Utilization

Where real estate costs are expensive and available space is limited, the mosteffective and efficient type of filing equipment should be selected to maximizeutilization per square foot for active and semi-active records management.Because costs of storage can be greatly reduced by relocating records to lessexpensive non-office space and storing at a higher density than is achievable inan office environment, inactive and semi active records with a low retrieval rateshould be moved offsite as soon as possible.

Floor Space Ratio is defined in the ARMA Glossary of Records andInformation Management Terms as “the filing capacity expressed in cubic vol-ume of records per square unit of floor space.” In the case of a vertical filing cab-inet, one should not only consider the physical space occupied by the cabinetitself but also the space necessary to effectively insert and remove files from thecabinet. 42 inches of clearance is a minimum recommendation in front of eachvertical file cabinet. Each drawer holds 20 to 25 file inches of material. Thisequates to slightly more than 8 square feet of required floor space for a cabinet

that will hold approximately 8 cubic feet of records. The floor space ratio for thistype of equipment would thus be 1.0. When four, three or even two drawer ver-tical cabinets are used, it is clear that the ratio will dramatically decrease. In thecase of a two-drawer cabinet, the ratio falls to approximately .36.

Basic Equipment Types

Many office environments tend toward standardization of filing equipment inorder to promote interchangeability, uniformity of appearance and use, andeconomies of scale. However, it is important to consider efficiencies and costs ofoperation when making any consideration of filing equipment or establishingnew records management areas.

File Folders

When documents begin to accumulate, they need to be grouped for the sakeof organization and to facilitate retrieval. The file folder is this most basic unit.A file folder may have a top tab or side tab depending upon the type of filingequipment used. Multiple tab widths are available. Top tab folders are used forvertical filing cabinets and some lateral filing cabinets. Side tab folders are usedfor some lateral filing cabinets and shelf filing applications. Both folder types arescored along the spine to produce a gusset or expansion fold that provides addi-tional space for documents contained within the folder. A typical top or side tabfolder will provide up to a 1 inch (2 cm) gusset, though other sizes are available.

In addition to side and top tab folders, other types of folders available includefile pouches, expandable file pouch-es, and file wallets. Standard pouch-es provide sealed sides in order toprevent small documents, such ascredit card receipts, from falling outof the file. Expandable file pouchesand wallets are used to containgroups of files that are closely related – chronological files related to a singleclient matter number, for example.

Color coding of end-tabbed files in open-shelf systems offers many advan-tages. Misfiles are virtually eliminated since a file out of order would be quick-ly visible, even across the room. Retrieval is some 25% faster than with verticalfiles since the file needed can be visually identified before the file clerk gets to

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50 four-drawer cabinets can contain 5,000filing inches in 378 square feet. However,34 units of hanging file boxes in open-shelf filing can offer 9,500 filing inches inthe same floor space.

Filing Dynamics (1987)

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the shelf to retrieve it. Color-coded labels systems exist to fit almost every need,and the union of color coding, bar-coding, and computerized charge-out systemsmakes a powerful combination.

Vertical Filing Cabinets

In the records management literature, vertical filing cabinets (particularly twoand three drawer vertical cabinets) are generally accepted as being the least effi-cient and most expensive of all filing equipment to operate per filing inch.Estimates from the state of Oregon for the dollar cost of maintaining 8 cubic feetof records, (the contents of a five drawer vertical filing cabinet), in a typical stateoffice environment is more than $2,100 per year. For this reason, the floor spaceratio is an important consideration when selecting any type of filing equipment.

Vertical filing cabinets do serve to protect records from visual identificationby unauthorized persons and, if insulated, may provide fire protective properties.In addition, if the cabinets are equipped with locks these cabinets may effective-ly restrict access to sensitive information, such as personnel records, research anddevelopment data or protected health information.

Lateral Filing Cabinets

These types of cabinets come in various widths and are sometimes equippedwith drawers or pull out units that permit top tab or side tab folders to be used.Pull out drawers require less aisle space than is required to operate a vertical fil-ing cabinet and capacity for storage of files is more than doubled, when com-pared to vertical cabinets. Like vertical filing cabinets, lateral filing cabinets canretard the spread of fire and can provide some security to files stored within theunit.

Open-Shelf Filing Units

These shelving units are usually not equipped with doors and utilize side tabfolders. They are very efficient, particularly when folders are equipped withcolor-coding to minimize misfiling errors. Because there is no enclosure, files arenot protected from visual inspection, fire or security so planning regarding thoseconcerns should be undertaken prior to using shelf-filing units. In addition, openshelf filing equipment is equally useful for microforms, data tapes and othermedia types.

Compact/Moveable Shelves

This type of equipment consists of open shelf type systems arranged ontracks. They may be either mechanized or manually operated by handles locatedon the end of each shelving unit. Because only one aisle space is created at a timewithin the unit, space savings of over 40% are possible through the use of thistype of system. However, floor loads are an extremely important considerationwhen installing this type of system since the distribution of weight is much moreconcentrated. The same concerns identified in open-shelf units regarding visualavailability, lack of security and enclosure to prevent the spread of fire are appli-cable to this type of system. These types of systems are more expensive thanother types of filing equipment

Rotary Filing Equipment

This electronically-driven, mechanized filing system delivers a high volumeof records to the user through a circular motion. Like compact/moveable shelvesthe densities of files are greatly increased through the use of this system. Alsolike compact systems, floor loads are greatly increased. These systems are alsovery adaptable to other types of media such as CDs, Microforms or data tapes. Inaddition to added expense when purchasing this type of system, there is anotherimportant consideration when making a buying decision for equipment that iscompletely mechanized: how significantly will retrieval be affected in the eventof an equipment breakdown?

Helpful Hints

Here are some important considerations when making purchases of filingequipment:

1. Is an efficient and effective records and information management systemin place? If not, seek guidance from ISO 15489 or records managementconsultants who can assist you. In the end it will probably be easier to pur-chase equipment to help you meet the goals of your information manage-ment plan than to adapt the plan to fit equipment already purchased.

2. Have you inventoried records to determine if some holdings can be storedoffsite? Storage costs can be greatly reduced if semi-active or inactiverecords can be relocated from higher cost office space to lower cost offsitestorage.

3. Are building floor loads sufficient to hold a more compact system?4. Are you placing records series that require more protection in the appro-

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priate type of filing equipment?5. Have you talked other records managers or your offsite records storage

partner about your informa-tion management goals andhow best to achieve them?

The volume of paper-based informationhas continued to grow more or less linearlywhile the volume of electronic informationhas increased exponentially.

The Paperless Office (2002)

12. MEDIA SELECTION

There are two issues that drive discussion of records media: flexibility andstability. Digital formats using magnetic and optical media are increasingly thechoice for records systems. Digital is abundant, cheap, and easily available.Many types of documents (e.g., forms, letters, e-mail) can be stored in a digitalformat, and a large volume of text-based records can be maintained in a relative-ly small amount of storage space. Multiple users can access records at the sametime, and digital documents can be quickly disseminated, even worldwide usingtelecommunication technology. Digital is perceived as providing sophisticatedfeatures, and it is here to stay.

One the other hand, we have had a relatively small amount of experience withdigital - about 60 years. We are learning that magnetic media are inherently tem-porary. We have myriads of letters from centuries ago, but the first e-mail (1964)has vanished, and NARA admits to the loss of 43,000 e-mails. The AmericanNational Standards Institute (ANSI) has assigned a life expectancy of 500 yearsto both acid-free paper and microfilm. Stories about digital frailty, the deterio-ration of digital records, are plentiful; many more will likely emerge in thefuture.

Sometimes, the user has a chance to select a particular medium for a system,though often enough the system comes with media selected by the system devel-oper. An ideal data storage system would characteristics such as

• Rapid access,• High read/write data rates,• Low cost per byte of storage,• Backup ability,• Ease of migration,• Removability, and• The option to manage data via autoloader or jukebox.

From the records manager’s point of view, the issues of retention and preser-vation weigh heavily in decisions about media selection, and it is here thatrecords managers are most likely to advise the creators of the records. Recordswith short-term retention (e.g., logistical, administrative), especially those thatcan produce information beyond the mere data level, may be excellent candidatesfor electronic formats. Long-term records may profit from the use of microfilmor paper. Among the benefits of microfilm are

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• The ability to store records in less than 95% of the space required for paper records

• Quick access to specific records via computer-assisted retrieval and indexing systems

• The advantage of fixity and file integrity over paper and electronic media

• Ability to duplicate and distribute quickly either paper-based film ordigital records on film (Computer Output Microfilm).

• Ability at any time in the future to scan and digitize human-readable texton film into whatever the preferred digital media of the day might be.

While paper does occupy more space than microfilm or digital information,its durability has been proven beyond question. Depending upon the recordsmanagement systems design employed and the retrieval frequency or need forenterprise access to records, paper remains a very solid option for records stor-age. Consider the following:

• Best evidence rules strongly support the inalterability and admissibilityof paper records (in some jurisdictions this is the only medium that isconsidered acceptable),

• Paper requires no machine interpretation in order to access informationand thus avoids data migration costs,

• Paper is not as sensitive to environmental conditions and remainsdurable even in temperature extremes, We are learning that magneticmedia are inherently temporary. and

• Paper can be completely remediated in the event of an unintentionalflooding event.

Today, there is a dual scanning technology, sometimes referred to as “hybridtechnology,” whereby paper-based records may be scanned into a digital formatand 16 mm microfilm. With this technology, it is longer necessary to think interms of either . . .or but as both . . . and. In order to be of maximum value, therecords manager must keep up to date on what technology options are availableand how offices can make the best use of a mixture of technologies to achievevarious objectives. This function may mean being able to converse with infor-mation technology specialists in their own jargon.

Another concern of the records manager is about strategies to bring therecords of the past into the future so that older and new records may be read andcreated by the same technology; this is the issue of data migration.

Records stored in electronic formats offer many advantages. Among them are

• Faster access to information by authorized users in numerous locations• Ease and speed of off-site backup of vital records• Improvement of staff productivity in records creation• Almost instant access to information • Ability to provide records over an organization’s intranet• Capability to provide records to customers or the public via the

Internet• Ability to add workflow technology so that “float” between actions

upon the records is dramatically reduced

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SECTION III - RESOURCES

13: INFORMATION LIFECYCLE

Extensive bodies of records often become unwieldy and useless in that infor-mation that cannot be accessed is worthless. Records management, then, offersa systematic application of management principles to the recorded informationcreated or received and used in the normal course of an organization’s busi-ness. Records management functions are part of a records (or information) life

cycle. It is here that records managers add value to recordscreated by others in the organization. Elements in the life

cycle of records (or recorded information) include:

• Creation—Using a variety of media anddocument creation techniques, records are created

through internal functions and from external trans-actions and correspondence. Records managers

assist in the development and maintenance of all records keeping sys-tems. Media vaulting helps protect active records assets falling into thevital-records category. Electronic records may also be managed by elec-tronic vaulting. For companies who need help setting up records sys-tems and retention schedules, there are consulting services.

• Distribution and Use—Information is shared among employees andused for making decisions, evidence in audits or litigation, and to sup-port other business purposes. In addition to paper-based systems, imag-ing may be used to create enterprise documents. Open shelf filing ofpaper-based records may be outsourced to lower operating costs. Mediavaulting is used to protect vital electronic assets

• Storage and Maintenance— Some information maintained beyond itsimmediate use may still have reference potential. Some companies mayelect to use offsite records storage for these records in combination witha scan-on-demand or faxing service to facilitate retrieval and delivery.Records may also be maintained offsite using open shelf filing.

• Retention and Disposition—As the activity level of stored informationdrops, it must still be retained due to regulations, for legal or audit pro-tection, or due to standard industry practice. Offsite records storage isused to outsource records to achieve a lower cost in a facility that still

maintains high security and tracking systems to facilitate retrieval. Inaddition to hardcopy records, tape, hard-drive, and optical memory prod-ucts may also be stored in media vaults. Obsolete information isdestroyed using in-house shredding or confidential destruction servicesfrom vendor partners.

• Archival Preservation—Some information of long-term value must beretained permanently or “life of the company.” Some records managersrely on microfilm imaging for long-term preservation while others pre-fer to maintain original paper records in an environmentally controlledvault or records center.

The value of records managers can be most clearly demonstrated when theyare involved in the initial design and creation of records types and systems, suchas databases. At this point, designing records and documents for optimal valueis important as there are opportunities here to reduce costs (e.g., labor to fill outprinted forms, operating costs for storage and retrieval), to apply accepted stan-dards for document architecture, and to maximize access to and use for decisionmaking of the information found in the new records system. Many records man-agers can bring training and experience to such activities in the design or re-design of printed forms and on-screen templates. Here, the records managerreduces costs and improve organizational efficiency.

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Papyrus

Stelae

Clay

Paper

Digital

Microforms

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14: BRIEF HISTORY OF RECORDS MANAGEMENT

Records management is truly one of the world’s oldest occupations. In fact,making and storing records is far older than literacy itself. Rudimentary recordswere made on rocks, animal skins, or notched sticks. There were also livingrecords called mnemones (“rememberers”) who put to memory important laws,chronologies, and genealogies. They reminded the king of important dates—aliving version of today’s tickler file. No one, however, could memorize thedetails of the countless business transactions that took place.

The first systematically produced records of business transactions were also preliterate. A clay-token system emerged 10,000 years ago in the Tigris-Euphrates Valley when nomadic life was exchanged for a more sedentary approach, including animal husbandry and organized food production. These and related activities necessitated records.

A system of clay tokens enabled the development of commerce beyond atrader’s immediate locale, enabled credit functions, inventory tracking, and sup-ported records of donations to religious institutions. Individual tokens corre-spond to our “data,” which, when meaningfully combined and structured, repre-sent the “information” embedded in records. The functions represented in theseearly records are those of commerce and government; clay-tablet records con-taining literary and religious texts came much later (Schmandt-Besserat, HowWriting Came About). Later, there were scribes,trained in a laborious writing system, who both creat-ed, organized, and housed clay-tablet records of com-merce, government, and religion.

Early records systems were not as primitive aswe might think. There were specialized filerooms—similar to today’s records centers—index-ing and shelving systems, and records preservationand destruction. It is clear that these practices influencedthe records systems of Alexander the Great, the far-reaching

Roman Empire, the Roman Catholic Church, and even into our day. While tech-nologies for recording information have changed (from clay to papyrus to paperto digital), the functions they document have largely remained the same.

Alexander may have responded to the earliest known records-related “disas-ter recovery.” When a tent containing his papyrus files burned, Alexander’s sec-retary and “records manager,” Eumenes of Kardia, reconstructed the files fromcopies of them that had been distributed throughout the kingdom.

More recently, attention to records management heightened, as railroads,banks, and insurance companies were the first to rationalize records programs inthe mid-19th century. As with other aspects of management, rational systematicapproaches to records were beginning to displace personalized and idiosyncrat-ic, to recordkeeping.

Emergence of Records Management as a Professional Field

In the last fifty years, records management has emerged as a field that usestechniques from management and the information sciences to address ongoingproblems with managing organizational records. The efforts to managementrecords at the U.S. National Archives in the 1930’s lay the foundation for theemergence of records management as a discipline during World War Two.

With a wartime increase of 1,000,000 cubic feet of records annually, effortswere undertaken to reduce recordkeeping costs (e.g., staff, space, equipment). Atthe National Archives, a few staff members took special interest in the econom-ic and managerial consequences of the growth of records, including those havingtime-limited value. The successes of the wartime management of records creat-ed a continuing interest in the federal sector. The records management move-ment was largely due to a handful of “reformed archivists” led by Emmett J.Leahy (1910-1964). Leahy’s career began at the National Archives, but he creat-ed, named, and led what we know today as records management. His recordsmanagement efforts took flower during a wartime stint with Navy. Later, Leahyformed what became the Leahy Archives, later the Pierce-Leahy Co. ofPennsylvania (1948). Leahy became a records management consultant and adesigner of inactive records centers. Leahy was the first person to achieve com-mercial success in records management. The “Emmett J. Leahy Award,” con-ferred by the Institute of Certified Records Managers, is considered the field’shighest honor. Leahy and others were instrumental in the professionalization ofrecords management through founding trade and professional associations. The

54

55

two best known are the Association of Records Managers and Administrators(ARMA International) http://www.arma.org and Professional Records andInformation Services and Management (PRISM) http://www.prismintl.org. Thefield has been further professionalized through a certification program whichgrants the Certified Records Manager (CRM) status to those who pass a six-partwritten examination and maintain certification through continuing educationhttp://www.icrm.org. While librarians, archivists and records managers sharesome concepts and principles, the paradigm of librarians and archivists is prima-rily social in nature (e.g., education, research, and self-improvement); that ofrecords managers focuses on business and management issues.

Emergence of the Professional Records Manager

In the last 40 years, records managers have emerged as valuable corporatestaff in many organizations—public and for-profit. Many companies and otherorganizations have found themselves in trouble over their records because theyattempted giving records management responsibilities to people untrained in thefundamentals of the field. The assumption that “anyone can file” has sometimesled to misunderstanding since records managers do not file but rather create fil-ing and indexing systems for clerical-level workers in the entire organization.

Professional-level records managers pursue a range of functions; among these(based on Wallace) are:

• Planning and organizing new records programs or records systems,Overseeing implementation of new programs or records systems,

• Establishing records retention schedules,• Educating personnel in other departments about records manage-

ment programs,• Reviewing federal and state legal requirements for records retention,• Evaluating records management program effectiveness,• “Selling” new records programs to senior management,• Developing and analyzing the organizational structure of the records

management program,• Determining schedules for destruction of records,• Identifying and planning protection for vital records,• Maintaining records retention schedules,• Establishing and maintaining a central storage area for inactive

records (either within the organization or with a commercial infor-mation storage company),

• Supervising physical inventory of all records accumulations,

• Preparing studies to determine feasibility and cost-effectiveness ofimaging (e.g., microfilming or optical disk),

• Overseeing preparation of records management manuals, and • Identifying archival records for permanent retention and storage.

In the absence of a trained and experienced records manager, an outside con-sultant can be employed to undertake some of these professional-level functions.

There are three levels of staff in records management: management, analyti-cal, and clerical. All these work in a unit that typically has some form of the term“records management” in its title. Clerical workers include those who providedsupport in the records management operation, such as secretarial duties, recordsretrieval and delivery, and database maintenance. Staff in the analytical catego-ry undertakes work such as inventorying information resources, records retentionresearch, and supervising records destruction. The scope of duties of recordsmanagement staff will vary widely, and others in the organization (e.g.,archivists, information systems staff, corporate counsel) may perform or beinvolved in records management tasks.

When an organization equates records management with “filing papers,” trou-ble is invariably on its way. Poor records management invites unacceptable risksbecause corporate records have enormous credibility with respect to the informa-tion they contain. Records developed and maintained in the normal course ofbusiness acquire a special evidentiary status long recognized in the law.

There is a very logical and rational basis for the business record exception tothe evidentiary hearsay rule, but poor records management practices can make cor-porate executives wish the rule never was recognized or existed. The point here isthat it is in our own interests that our corporate records meet very high standards.At a minimum they should be accurate, complete, timely, retrievable, and appropri-ate. Some organizations specify these same types of criteria from the opposite per-spective. For example, Dupont’s published Code of Ethics specifies that no record,entry, or document shall be false, distorted, misleading, misdirected, deliberatelyincomplete, or suppressed.

Another important point here is if we truly are in a knowledge society, doesnot logic compel us to bring the most skillful professional expertise to handlingthe valuable corporate information as we do with other professional disciplines?In the era of flattened corporate structures, it is even more incumbent to have pro-fessional talent for these responsibilities because records and information man-agement is a sorely neglected subject in the education of most other professions.

56

57

Sadly, most of us assume that we can handle any records or information manage-ment challenge, yet when called upon to do that we are sorely lacking. Many donot even know where they should logically start, yet they are likely to be in a veryawkward position when the seemingly most elementary records managementdisaster occurs.

At the risk of sounding bureaucratic, the corporation should appointa seniorofficer as the Chief Information Officer (CIO). This individual should have twomajor corporate-wide responsibilities: (1) information management and (2)information systems. The CIO should have a few expert staff members in each ofthese two disciplines reporting directly to him or her and the organization shouldhave a cadre of professionals that are responsible for the daily corporate needs ineach of these areas. Few would dispute the need for the technical systems peo-ple. That same philosophy should be applied to the information and records man-agement area.

15: CONCLUSION

Recordkeeping systems have underpinned humanity’s commercial transac-tions for 10,000 years and will continue to do so as long as there is need to cre-ate and maintain records. There is every reason to believe that, despite the con-tinuing ascendancy of computer based systems, that recordkeeping—electronicand paper based—will continue as a necessary and fundamental aspect of social,governmental, and business life. In line with this prophecy, there are sevenassumptions about the future of records systems that are useful:

1. The number of records will continue to rise and, typically, growth willexceed disposition.

2. Costs associated with records/recordkeeping will continue to increase(currently at ca. 10% per year) regardless of the technology used.

3. The need to retrieve records quickly and correctly will increase.4. Ever more powerful retrieval systems will need to be created.5. Records will continue to grow in social importance (e.g., litigation, per-

sonal/family records, entitlement, rights,)6. There will be a growing concern about the ethical and proper uses of

records systems (confidentiality, privacy).7. The increase in computer-based systems will grow in number and use—

but more slowly than assumed by technologists.

58

59

16. ABOUT THE AUTHOR

In 1988, Mike Pemberton, CRM, established a consulting practice, InformationManagement Associates, Inc. (IMA) based in Knoxville (http://www.theimpros.com).These consultants address information and records management needs in organizations ofmany types and sizes. Their services include records management/archives needs assess-ments, costs and space reduction studies, records facilities and filing systems design,records retention research, development of corporate library services, ethical informationpractices, knowledge management initiatives, and feasibility/cost justification analyses.IMA consultants have undertaken consulting assignments at organizations, such as JohnsHopkins University, Oak Ridge [TN] Schools, Sevier County (TN), and national-level for-profit organizations such as King Business Forms and Lawler-Wood, a developer.

Pemberton has been a faculty member in information management at two universities,a librarian, an archivist, a records manager, and a consultant. In addition to faculty roles at UTK, Pemberton has been the Interim Records Manager at UTK (1997-99), a campus service unit he developed from the ground up in the mid-1980s(http://bserv.admin.utk.edu). To date, this service has saved his university over $20 mil-lion. In 1989-90, he created the Center for Information Studies, a research and contract-ing arm of the School of Information Sciences at UTK, which to date has generated over$20 million for his campus.

Pemberton is an internationally recognized writer and presenter in information man-agement. He has authored 135 publications (books, articles, reviews) and made 95 invit-ed presentations on topics in information management. He is the Executive Editor forInformation Management Journal, an international, interdisciplinary journal<www.arma.org/publications/journal/journal_about.cfm> of ARMA International, a pro-fessional association of 10,000 members in 35 countries. He has served on the editorialboards of other international journals and has been published in the Journal ofInformation Ethics, the Journal of the International Records Management Congress, andXploration.

In 1998, Pemberton became a Certified Records Manager (CRM) through a six-partexamination administered by the Institute of Certified Records Managers(http://www.icrm.org/). Based on his career contributions and achievements in the field,he was inducted into ARMA’s prestigious Company of Fellows (October 1998), becom-ing only one of twenty-two persons qualified to use the designation “FAI” (Fellow,ARMA International) and only the fourth academic so honored.

For the last twenty-five years, he has been a faculty member of the School ofInformation Sciences (SIS) at the University of Tennessee, Knoxville (UTK), the state’ssenior, public, Research I university (http://www.utk.edu/). He holds the rank of Professor and teaches courses in records management, archives, corporate librarianship,knowledge management, and the management of information organizationshttp://www.sis.utk.edu/~pemberton/.

For 23 years Pemberton has served in leadership roles with ARMA International.During 1993-95, he was Vice President for Region III of ARMA International. He chairedtwo of the association’s standing committees: Education, Publications and ResearchDevelopment. Pemberton is a past chair of the inter-association Joint Committee ofARMA and the Society of American Archivists (SAA). He chaired the committee thatdeveloped ARMA’s most recent versions of the Code of Professional Responsibility(http://www.arma.org/publications/ethics.cfm).

60

Offic

e or

Dep

artm

ent

Loca

tion/

Build

ing

Date

Stre

et A

ddre

ss _

____

____

____

____

____

____

____

____

__

Cont

act P

erso

nTe

leph

one

No./

E-m

ail A

ddre

ss

City

___

____

____

____

____

____

____

____

_ S

tate

___

__

Coun

try

____

____

____

Zip/

Post

al C

ode

____

____

__

Title

of R

ecor

dW

hat D

epar

tmen

t Cal

ls R

ecor

d

Desc

riptio

n of

Rec

ord

Loca

tion

of R

ecor

d

Purp

ose

of R

ecor

dIs

Rec

ord

Still

Cre

ated

?

❐Ye

s ❐

No

❐Un

know

n

Type

of R

ecor

dIs

Rec

ord

Imag

ed?

Orig

inal

–Lo

catio

n of

Dup

licat

es

___

____

____

____

____

____

____

____

____

❐Ye

s ❐

No

Dupl

icat

e–

Loca

tion

of O

rigin

al

____

____

____

____

____

____

____

____

___

Reco

rd F

orm

at

❑ L

ette

r❑

Plan

s/Dr

awin

gs

❑

Prin

tout

❑M

agne

tic M

edia

(ind

icat

e ty

pe)

____

____

__

❑

Form

# _

____

____

_❑

Lega

l❑

Vide

o/Au

dio

Tape

❑M

icro

film

❑Pu

blic

atio

n/Bo

oks

❑Bi

nder

❑ O

ther

___

____

____

____

____

____

____

____

__

Filin

g M

etho

d

❑Al

phab

etic

❑Nu

mer

ic❑

Chro

nolo

gic

❑Su

bjec

t❑

Alph

anum

eric

17. SAMPLE RECORDS MANAGEMENT FORMS

61© 2002 Arma International - used with permission.

❑ O

ther

___

____

____

____

____

____

____

____

__

Filin

g M

etho

d

❑Al

phab

etic

❑Nu

mer

ic❑

Chro

nolo

gic

❑Su

bjec

t❑

Alp

hanu

mer

ic❑

Geog

raph

ic❑

Cale

ndar

Yea

r❑

Fisc

al Y

ear

❑Ot

her _

____

____

____

____

____

____

____

____

___

Reco

rd C

hara

cter

istic

sTy

pe o

f Equ

ipm

ent

❑Vi

tal

❑Co

nfid

entia

l❑

Rest

ricte

d❑

Impo

rtant

❑Us

eful

Use

code

- s

ee b

ack

Rang

e of

Rec

ords

Do

es R

ecor

d Ha

ve

Volu

me

of R

ecor

dsAc

cum

ulat

ion

Per Y

r.(e

.g.1

/1/9

8 –

6/30

/01,

Li –

Ru,

200

– 55

0)Hi

stor

ical

/Arc

hiva

l Val

ue?

____

_ F

iling

Inch

es

__

___

Fili

ng In

ches

____

____

__ th

roug

h __

____

____

❑Ye

s

❑No

❑Un

know

n

_

____

Cub

ic F

eet

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_ C

ubic

Fee

t

Refe

renc

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te

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es

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ily

❑W

eekl

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thly

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arly

❏

Oth

er

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Bre

ak/C

utof

f

❑M

onth

❑Ca

lend

ar Y

ear

❑Fi

scal

Yea

r❑

Acad

emic

Yea

r❑

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r ___

____

____

____

____

____

____

Depa

rtmen

t or O

ffice

Rec

omm

enda

tions

(Che

ck a

ll th

at a

pply

)❑

Dest

roy

imm

edia

tely

afte

r cut

off.

❑De

stro

y __

___

mon

th(s

) or _

____

yea

r(s) a

fter c

utof

f.❑

Hold

in a

ctiv

e fil

e ar

ea _

____

mon

th(s

) or _

____

yea

r(s).

❑Tr

ansf

er to

___

____

____

____

dep

artm

ent a

fter _

____

mon

th(s

) or _

____

yea

r(s).

❑Tr

ansf

er to

Rec

ords

Cen

ter a

fter _

____

yea

r(s).

❑Tr

ansf

er to

Arc

hive

s fo

r per

man

ent r

eten

tion.

❑M

icro

film

for p

erm

anen

t ret

entio

n af

ter _

____

mon

th(s

) or _

____

yea

r(s).

Just

ifica

tion

for D

epar

tmen

t or O

ffice

Rec

omm

enda

tions

Fede

ral

Fund

s?

❑Ye

s ❑

No

Exte

rnal

Aud

it Re

quire

d?

❑ Y

es

❑No

62

Appendix 2 – Retention Schedule Form

© 2002 Arma International - used with permission.

63

Appendix 4 – Sample Retention Schedule

© 2002 Arma International - used with permission.

64

Cert

ifica

te o

f Aut

hent

icity

THIS

FOR

M IS

TO

CERT

IFY

that

the

mic

roph

otog

raph

s ap

pear

ing

on th

is F

ilm-F

ile s

tarti

ng w

ith

____

____

____

____

____

____

____

____

____

____

____

____

____

____

__ a

nd e

ndin

g w

ith

____

____

____

____

____

____

____

____

____

____

____

____

____

____

__ a

re a

ccur

ate

and

com

plet

e re

prod

uctio

ns o

f the

reco

rds

of _

____

____

____

____

____

____

(Com

pany

and

Dep

t.)

____

____

____

____

____

____

_as

deliv

ered

in th

e re

gula

r cou

rse

of b

usin

ess

for p

hoto

grap

hing

.

Date

Pro

duce

d___

____

____

____

____

____

____

____

____

____

____

____

____

____

____

__(M

onth

)(D

ay)C

amer

a Op

erat

or

Plac

e

____

____

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____

____

____

____

____

____

____

____

____

____

____

____

____

____

_

(City

)(S

tate

)

© 2002 Arma International - used with permission.

65

Department and/or Office

Description of Contents

Filing Sequence (From – To)

Date of Record(Year From – To)

Box Number onTransmittal

Records Center Location Number (Records Center Use Only)

PLACE ON SMALL END OF BOX

Customer No. [USE LARGE BOLD FONT]

Customer Name [USE LARGE BOLD FONT]

Your Reference No.

Division Code Department Code Records Classification Code

FromM M D D Y Y Y Y

ThruM M D D Y Y Y Y

File Range

Date OR

Alpha / Numeric

Retention Code Create DateM M D D Y Y Y Y

Destruction Review DateM M D D Y Y Y Y

Contents Description #1

Contents Description #2

[INSERT ACTUAL BAR CODE]Bar Code No.

[Insert Bar Code No. in LARGE BOLD FONT]

© 2002 Arma International - used with permission.

66

Vit

al

Re

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aly

sis

Gro

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me

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)

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is R

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at o

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the

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-In

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de

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of

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tec

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the L

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his

Me

tho

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eco

mm

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d

© 2002 Arma International - used with permission.

67

Vit

al

Re

co

rds

Up

da

tin

g a

nd

Re

ten

tio

n

Ho

ww

ill R

eco

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in V

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l R

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ter:

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Alp

ha

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w O

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pd

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w L

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ase

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68

Reco

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d r

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ind

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pro

val fo

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estr

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s to

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w a

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no

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(2)

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) civ

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71

18. APPENDIXES

References

ANSI/ARMA 5-2003: Vital Records Programs: Identifying, Managing, and RecoveringBusiness-Critical Records. Available from ARMA International <http://www.arma.org> indownloaded .PDF format or in hard copy from <http://webstore.ansi.org>.

ARMA International. Glossary of Records and Information Management Terms. Lenexa,KS: ARMA International, 2000.

ARMA International and Society of American Archivists, comps. Sample Forms forArchival and Records Management Programs. Book and CD-ROM. Lenexa, KS: ARMAInternational, 2002. (Sample forms reprinted with permission)

Dietel, Edwin J. Designing an Effective Records Retention Compliance Program. 1v.loose leaf. “Corporate Compliance Series” v. 3. Deerfield, IL: Clark Boardman,Callaghan, 1993- .

Designing and Implementing Recordkeeping Systems (DIRKS): Manual forCommonwealth Agencies. National Archives of Australia. http://www.naa.gov.au/record-keeping/

McLean, Robert. “The Business Case for Implementing ISO 15489,” RecordsManagement Bulletin, Issue 115 (August 2003), 7-12.

Pemberton, J. Michael. “The Earliest Records Systems: A Journey in ProfessionalHistory,” Records Management Quarterly, 32, ii (April 1998), 64-70.

Pemberton, J. Michael. "Emmet Leahy: Patron Saint of Records Management?" RecordsManagement Quarterly, 27, ii (April 1993), 56, 58-59.

Robek, Mary, Gerald F. Brown, and David O. Stephens, Information and RecordsManagement: Document-Based Information Systems. 4th ed. New York: Glencoe-McGraw-Hill, 1995.

Schmandt-Beserat, Denise. How Writing Came About. Austin, TX: University of TexasPress, 1996.

Wallace, Patricia. A Study to Identify Career-Ladder Positions, Records ManagementTasks, and Educational Curricula for Entry-Level, Intermediate, and Advanced RecordsManagement. Ph.D. dissertation, Philadelphia, PA: Temple University, 1979.

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19. BIBLIOGRAPHY

Bibliography and Videos

ARMA International. 1998 Salary and Compensation Survey. . Lenexa, KS: ARMAInternational, 1998.

ARMA International Standards Committee, Records Center Operations Task Force.Records Center Operations. 2nd ed. Lenexa, KS: 2002. An ARMA/ANSI Standard:ANSI/ARMA TR-01-2002). http://webstore.ansi.org

ARMA International. Guideline for Managing E-mail. Lenexa, KS , 2002.

ARMA International. Information Management: A Business Imperative: FAQs forCorporate Executives and Decision-Makers. Lenexa, KS: ARMA International, 2002.

Bennick. Anne. Active Filing for Business Records. Lenexa, KS: ARMA International,1999. Buried Alive. Commonwealth Films, Inc. Video, VHS and CD formats. 1995.http://www.commonwealthfilms.com/

Dale, Tom and Susan L Cisco. Indexing Business Records: The Value Proposition.Silver Spring, MD: Association for Information and Image Management International(AIIM), 1998.Dearstyne, Bruce. Managing Government Records and Information. Lenexa, KS ARMAInternational, 1999.

Diamond, Susan Z. Records Management: A Practical Approach. 3rd ed. New York:AMACOM, 1995.

Designing and Implementing Recordkeeping Systems (DIRKS): Manual forCommonwealth Agencies. National Archives of Australia. http://www.naa.gov.au/record-keeping/

Dollar, Charles. Authentic Electronic Records: Strategies for Long-Term Access.Chicago: Cohasset Associates, 1999.

For the Record: Records and Information Management. Commonwealth Films, Inc.Video, VHS and CD formats. 2000. http://www.commonwealthfilms.com/

Hunter, Gregory S. Preserving Digital Information. “How-to-Do It Manual Series No.93.” New York: Neal-Schuman, 2000.

International Organization for Standardization (ISO). ISO 15489-1: Information andDocumentation, Part 1: General. Available from ARMA International in .PDF format orfrom ANSI: ISO 15489-1:2002. (http://webstore.ansi.org).

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International Organization for Standardization ISO / TR; 15489-2: Information andDocumentation—Records Management—Part 2: Guidelines. Available from ARMAInternational <http://www.arma.org> in downloaded .PDF format or in hard copy from<http://webstore.ansi.org>. A supplement to the standard, above, which provides com-mentary and explanation for the standard, above, and a method for implementing it.)

Mark, Teri J. Organize Your Office: A Small Business Guide to Managing Records.Lenexa, KS: ARMA International, 2003.

Penn, Ira, Gail B. Pennix, and Jim Coulson. Records Management Handbook. 2nd ed.Aldershot Hampshire (England): Gower, 1994.

Ready for Anything. 21 minutes. VHS or CD-ROM. Commonwealth Films, 2002.(Intended to improve organizational awareness of the variety of disaster-related eventsthat can bring an organization to a standstill.) http://www.commonwealthfilms.com

Robek, Mary, Gerald F. Brown, and David O. Stephens, Information and RecordsManagement: Document-Based Information Systems. 4th ed. New York: Glencoe-McGraw-Hill, 1995.

Saffady, William. Managing Electronic Records. 3rd ed. Lenexa, KS: ARMAInternational. 2002.

Saffady, William. Records and Information Management: A Benchmarking Study ofLarge U. S. Industrial Companies. Lenexa: ARMA International. (An e-book)

Saffady, William. Electronic Document Imaging: Technology, Applications,Implementation. Lenexa, KS ARMA International, 2001.

Saffady, William. Cost Analysis Concepts and Methods for Records ManagementProjects. Lenexa, KS: ARMA International 1998.

Saffady, William. The Value of Records Management: The Business Case for SystematicControl of Recorded Information. Lenexa, KS: ARMA International, 1999.

Saffady, William. Micrographics: Technology for the 21st Century. Lenexa, KS: ARMAInternational, 2000.

Skupsky, Donald. Recordkeeping Requirements: The First Practical Guide to Help YouControl Your Records. Denver: Information Requirements Clearinghouse, 1994.

Skupsky, Donald. Records Retention Procedures: Your Guide to Determine How Longto Keep Your Records and Safely Destroy Them. Denver: Information RequirementsClearinghouse, 1994.

Skupsky, Donald and John Montana, eds. and comps. Law, Records, and InformationManagement: The Court Cases. Denver: Information Requirements Clearinghouse,1994.

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Stephens, David O. and Roderick Wallace. Electronic Records Retention: NewStrategies for Data Life Cycle Management. Lenexa, KS: ARMA International, 2003.

Stephens, David O. Information Management for Multinational Corporations: AManager's Briefing. Lenexa, KS: ARMA International, 1999.

Stephens, David O. Advanced Records and Information Management: A Home StudyCourse. Lenexa, KS: ARMA International, 1996.Journals/Periodicals

American Archivist; Society of American Archivists; http://www.archivists.org/

Bulletin of the Records Management Society of Great Britain; published by the Society;www.rms-gb.org.uk

E-doc; Association for Information and Image Management International;http://www.edocmagazine.com

inFOCUS: The Quarterly Journal of PRSIM International; PRISM International;http://www.prismintl.org/

Information Management Journal; ARMA International; http://www.arma.org/

Information Today: The Newspaper for Users and Producers of Electronic InformationServices, Information Today, Inc.;

Information Week: Business Innovation Powered by Technology; C M P Publications,Inc.; http://www.informationweek.com/

Records Management Journal; ASLIB, the Association for Information Management;http://fiordiliji.emeraldinsight.com/vl=1448673/cl=20/nw=1/rpsv/rmj.htm

World Wide Web

Information Management Gateway http://infomgmt.homestead.com Provides thousands oflinks to information management resources of all kinds.

Records and Corporate Information

ARMA International http://www.arma.orgFounded in 1975, ARMA International (Association of Records Managers andAdministrators) is a professional association of some 10,000 members in 37 countries. Itprovides education, research, and networking opportunities for those working with corpo-rate information resources. ARMA is an American National Standards Institute (ANSI)standards developer.

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Association for Information Management http://www.aslib.co.ukThe Association for Information Management (Aslib) is a professional association of2,000 members from private and public sector companies and organizations. Aslib is con-cerned with managing information resources efficiently for small to large corporations andgovernments and on any of their issues and problems in information management

International Council on Archives http://www.ica.orgThe International Council on Archives (ICA) is the international, professional, non-gov-ernmental organization representing the interests of archives and archivists worldwide. Itsaims are to promote the preservation, development, and use of the world's archival her-itage.

National Association for Information Destruction http://www.naidonline.org/NAID is the international, non-profit trade association for the information destructionindustry. It has personal and company memberships involved in providing informationdestruction services.

PRISM International http://www.prismintl.orgPRISM International (Professional Records and Information Services Management) is thetrade association for companies providing their customers with protection, access, reten-tion, storage and disposal of their information.

Society of American Archivists http://www.archivists.orgThe Society of American Archivists (SAA) is North America's oldest professional associa-tion for archivists. It provides educational and information services to some 3,400 mem-bers.

Special Libraries Association http://www.sla.orgThe corporate-sector membership of the Special Libraries Association (SLA) has becomethe predominant group in the association. Some of SLA's members are not librarians perse but are corporate archivists, business intelligence specialists, records managers, andknowledge managers--or may supervise a cluster of such services within their companies.

Certification

Institute of Certified Records Managers http://www.icrm.orgThe Institute of Certified Records Managers (ICRM) is an international certifying organi-zation for professional records and information managers. The ICRM was incorporated in1975 to meet the requirement to have a standard by which persons involved in records andinformation management could be measured, accredited and recognized according to crite-ria of experience and capability. Certification requires passage of a six-part examinationand continuing certification through a certification maintenance program.

Academy of Certified Archivists http://www.certifiedarchivists.orgThe Academy of Certified Archivists (ACA) supports and promotes the standards ofarchival practice by defining the knowledge and abilities needed to be an archivist.Certification is via written examination.

Information Science/Technology

American Society for Information Science and Technology http://www.asis.orgFounded in 1937, the American Society for Information Science and Technology(ASIS&T) is a society for information professionals leading the search for new and bettertheories, techniques, and technologies to improve access, storage, and retrieval of informa-tion.

Association for Information and Image Management http://www.aiim.orgThe Association for Information and Image Management (AIIM) was founded in 1943 asthe National Microfilm Association. Today, the association helps its trade and professionalmembers with information about enterprise content management technologies, imagemanagement, data mining, micrographics, data warehousing, and knowledge management.AIIM is an ANSI/ISO standards developer.

Archive Builders http://www.archivebuilders.comA useful and interesting source of detailed, statistical information about a variety of tech-nology media, their capacities, and equivalencies (e.g., X number of pieces of paper = Ynumber of CD-ROMs, etc).

Business Forms Management

Business Forms Management Association http://www.bfma.orgOutside the executive suite, the format of most records is the business form, whetherpaper-based or electronic. Design of forms or screen templates affects the quality of theinformation inserted into it (e.g., completeness, accuracy) and requires expertise in sys-tems and procedures analysis, graphic design, and printing technology. BFMA is the pro-fessional association for those engaged in the design of forms for optimal information col-lection and management.

Standards in Information Management

International Organization for Standardization http://www.iso.chThe International Organization for Standardization (ISO) is a worldwide federation ofnational standards bodies from some 130 countries, one from each country. Informationprofessionals are particularly interested in the information management aspects of ISO9000, an international quality standard. The first broad-based international standard forrecords management (ISO 15489) was published in September 2001.

National Information Standards Organization http://www.niso.orgThe National Information Standards Organization (NISO) is a non-profit associationaccredited as a standards developer by the American National Standards Institute. To helpachieve international consistency, NISO has developed standards for libraries, informationretrieval, scientific and technical reports, and computer formats.

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National Fire Protection Association http://www.nfpa.orgThe National Fire Protection Association (NFPA) issues standards for fire protection inmany environments. Among them are NFPA 232, Standard for Protection of Records,NFPA 909, Code for the Protection of Cultural Resources, and NFPA 75, Standard for theProtection of Electronic Computer/Data Processing Equipment.

Information Preservation

CoOL http://palimpsest.stanford.eduCoOL (Conservation OnLine), a project of the Preservation Department of StanfordUniversity Libraries, is a full text library of conservation information, covering a widespectrum of topics of interest to those involved with the conservation of library, archivesand museum materials.

Council on Library and Information Resources http://www.clir.orgCLIR's agenda embraces the entire range of information resources and services, from tra-ditional library and archival materials to emerging digital formats, and the entire networkof organizations that gather, catalog, store, preserve, distribute, and provide access toinformation.

Contingency/Disaster Planning

Disaster Recovery Journal http://www.drj.comThe Disaster Recovery Journal is more than a periodical. In fact, it is a considerable source of infor-mation about disaster/contingency planning, meetings/conferences, and certification in the field.

PRISM International Headquarters: PRISM International 8735 W. Higgins Road, Suite 300, Chicago, IL 60631, USATel: +1.847.375.6344 Fax: +1.847.375.6343 E-mail: info@prismintl.org

PRISM International European Secretariat Kellen Europe Avenue Jules Bordet 142 B-1140 Brussels, BelgiumTel: +32 2 761 16 00 Fax: +32 2 761 16 99 E-mail: prism.EU@kelleneurope.com

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