ReCh

Management Centre

Records Management

15th -19th November, 2008

ALL CONTENTS COPYRIGHT © 2004-2008 H&H ASSOCIATES WEDNESDAY, 05 NOVEMBER 2008

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Contents.................................................................................................................................................................. 2
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Introduction to records management.........................................................................................................................1

Introduction........................................................................................................................................................1

Why records management is an issue................................................................................................................1

What are records...............................................................................................................................................2

Records Management (Overview)......................................................................................................................3

Managing physical records.................................................................................................................................4

Managing electronic records...............................................................................................................................5

Benefits of a records management system~ Ten Business Reasons ..................................................................6

Records as a vital source...................................................................................................................................9

Symptoms of inefficiency & business impact of poor RM life-cycle......................................................................10

Hazards/risks to records and disaster planning........................................................................................................11

Types of risks..................................................................................................................................................11

What can be done about the risks.....................................................................................................................11

Records & Disasters........................................................................................................................................12

Risk Management............................................................................................................................................13

Planning for the worst.......................................................................................................................................20

Retention and disposal schedules...........................................................................................................................46

Benefits...........................................................................................................................................................46

Types and examples........................................................................................................................................47

Classification and indexing.....................................................................................................................................47

Why they are important....................................................................................................................................47

Principles of successful records management systems......................................................................................48

Types of systems.............................................................................................................................................48

Records Management case study.....................................................................................................................50

Appendix – Definitions & Resources.......................................................................................................................62

Resources.......................................................................................................................................................62

Definitions........................................................................................................................................................63

Glossary of records management terms............................................................................................................63

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 Introduction to records management

Week1 – Day 1 15th December

Introduction

Why records management is an issue

To some, managing records represents one of the most boring and onerous
business functions that anyone could possibly undertake within an organization.
Of course, most people don’t even understand what records management is --
making it easy to malign an activity that is so misunderstood.
Indeed records management crosses numerous disciplines.
Did you know?
That categorization and indexing are two elements that are critical to the success
of a records management program? Sounds a little like knowledge management.
That vital records preservation is one of the key steps in developing a disaster
recovery plan? Sounds like infrastructure management.
That by ignoring records management policies employees and their companies
can potentially end up facing criminal penalties? Sounds like a legal profession.
What led to Arthur Andersen’s downfall? Shredding — inappropriate shredding
— shredding of records that should have been retained according to the policies
of both Andersen and Enron.
Despite what people may say, what you don’t know can hurt you and, in the case
of records management, what you choose to ignore can cripple you and your
organization.
Recent dramatic headlines have made it quite apparent that records
management (or the lack thereof) is an essential activity to ascertain and confirm
the credibility of many business transactions and government activities. The
proliferation of electronic documents (especially e-mails) and the potential
litigation exposure that they cause are becoming the bane of legal advisors and
records managers in many corporations and government agencies. Microsoft,
Texaco and other Fortune 500 companies have taken hits from “runaway” e-
mails introduced as evidence in high stakes cases.

But, to records managers, e-mail is just another record type in the scheme of
things (not a trivial record type but a record type just the same). They know that
in fact, “smoking guns” can come in many different guises, including: paper,
electronic image files, video tape, voice recordings, etc. It’s all potential evidence
and therefore potential deposition fodder. Making sure that all the relevant
information is accessible in a timely fashion, should an organization need to
defend itself in a lawsuit, is also what records managers are responsible for.
These days a records manager’s job is anything but boring, and in many
organizations there aren’t enough of them to handle the increased compliance
laws and regulations that have cropped up in recent months.
Not surprisingly, then, many companies are looking at records management
software as a way to get a better grip on the increased volume of all kinds of
records. Although that approach can help, a basic understanding of what records
management is and its concomitant practices are required before even looking at
any software product. If you don’t have a records management policy in place
along with the appropriate retention and destruction rules for the records, the
software will be useless.

What are records

Records management, or RM, is the practice of identifying, classifying, archiving,

preserving, and destroying records. The ISO 15489: 2001 standard defines it as
"The field of management responsible for the efficient and systematic control of
the creation, receipt, maintenance, use and disposition of records, including the
processes for capturing and maintaining evidence of and information about
business activities and transactions in the form of records".

The ISO defines records as "information created, received, and maintained as

evidence and information by an organization or person, in pursuance of legal
obligations or in the transaction of business". The International Council on
Archives (ICA) Committee on Electronic Records defines a record as, "recorded
information produced or received in the initiation, conduct or completion of an
institutional or individual activity and that comprises content, context and
structure sufficient to provide evidence of the activity." While the definition of a
record is often identified strongly with a document, a record can be either a
tangible object or digital information which has value to an organization. For
example, birth certificates, medical x-rays, office documents, databases,
application data, and e-mail are all examples of records. Records are to be
managed according to their value to the organization rather than their physical or
logical characteristics.

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The other crucial aspect of the above definitions is their consistent reference to
records as evidence. Indeed, records management can be seen as being
primarily concerned with the identification and management of the evidence of an
organization's business activities.

Records Management (Overview)

The practice of records management involves 7 stages:

1. Identifying information requiring capture
2. Creating, approving, and enforcing records policies, including a
classification system and a records retention policy
3. Developing a records storage plan, which includes the short and long-term
housing of physical records and digital information?
4. Identifying existing and newly created records, classifying them, and then
storing them according to standard operating procedures
5. Coordinating access and circulation of records within and even outside of
an organization
6. Executing a retention policy to archive and destroy records according to
operational needs, operating procedures, statutes, and regulations.
7. Often, a records management system helps to aid in the capture,
classification, and ongoing management of records throughout their
lifecycle. Such a system may be paper based (such as index cards as
used in a library), or may be a computer system, such as an electronic
records management application.
ISO 15489:2001 states that records management includes:

• Setting policies and standards;

• Assigning responsibilities and authorities;

• Establishing and promulgating procedures and guidelines;

• Providing a range of services relating to the management and use of

records;

• Designing, implementing and administering specialized systems for

managing records; and
• Integrating records management into business systems and processes is
the process of acquisition of goods, works and services from third parties.

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 The process spans the whole life cycle from initial concept and definition
of the authority’s needs through to the end of the useful life of an asset or
end of a services contract.

Managing physical records

Managing physical records involves a variety of diverse disciplines. At the

simplest, physical records must be organized and indexed. In more complex
environments, records management demands expertise in forensics, history,
engineering, and law. Records management then resolves to being a
coordination of many experts to build and maintain the system.
Records must be identified and authenticated. In a business environment, this is
usually a matter of filing business documents and making them available for
retrieval. However, in many environments, records must be identified and
handled much more carefully.

Identifying records

If an item is presented as a record, it must be first examined as to its relevance,

and it must be authenticated. Forensic experts may need to examine a document
or artefact to determine that it is not a forgery, or if it is genuine, that any
damage, alterations, or missing content is documented. In extreme cases, items
may be subjected to a microscope, x-ray, radiocarbon dating or chemical
analysis to determine their authenticity and prior history. This level of
authentication is rare, but requires that special care be taken in the creation and
retention of the records of an organization.

Storing records

Records must be stored in such a way that they are both sufficiently accessible
and are safeguarded against environmental damage. A typical contract or
agreement may be stored on ordinary paper in a file cabinet in an office.
However, many records file rooms employ specialized environmental controls
including temperature and humidity. Vital records may need to be stored in a
disaster-resistant safe or vault to protect against fire, flood, earthquakes and
even war. In extreme cases, the item may require both disaster-proofing and
public access, which is the case with the original, signed US Constitution. Even
civil engineers must be consulted to determine that the file room can effectively
withstand the weight of shelves and file cabinets filled with paper; historically,
some military vessels were designed to take into account the weight of their
operating procedures on paper as part of their ballast equation (modern record-

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keeping technologies have transferred much of that information to electronic
storage). In addition to on-site storage of records, many organizations operate
their own off-site records centres or contract with commercial records centres.

Circulating records

Records are stored because they may need to be retrieved at some point.
Retrieving, tracking the record while it is away from the file room, and then
returning the record, is referred to as circulation. At its simplest, circulation is
handled by manual methods such as simply writing down who has a particular
record, and when they should return it. However, most modern records
environments use a computerized records management system that includes the
ability to employ bar code scanners for better accuracy, or radio-frequency
identification technology (RFID) to track movement of the records from office to
office, or even out of the office. Bar code and RFID scanners can also be used
for periodic auditing to ensure that unauthorized movement of the record is
tracked.
Disposition of records

Disposition, besides the destruction of records can also include transfer of

records to a historical archive, to a museum, or even to a private party. When
physical records are destroyed, the records must be authorized for destruction by
law, statute, regulation, and operating procedure. Once approved, the record
must be disposed of with care to avoid inadvertent disclosure of information to
unauthorized parties. The process to dispose of records needs to be well-
documented, starting with a records retention schedule and policies and
procedures that have been approved at the highest level of an organization. An
inventory of the types of records that have been disposed of must be maintained,
including certification that the records have been destroyed. Records should
never simply be discarded as any other refuse. Most organizations use some
form of records destruction including pulverization, paper shredding or
incineration. has developed significant prominence in the public eye. Authorities
are required to improve their procurement processes; Best Value, and
Comprehensive Performance Assessments (CPA) will continually increase the
focus on procurement. Internal and external audit are seeking evidence of
commitment to better practice; external suppliers are benchmarking their
customers.

Managing electronic records

The general principles of records management apply to records in any format.

Digital records (almost always referred to as electronic records) raise specific
issues however. It is more difficult to ensure that the content, context and

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structure of records is preserved and protected when the records do not have a
physical existence. Guidance on the management of electronic records can be
found on the websites of National and State Archives authorities listed below.
Unlike physical records electronic records cannot be managed without a
computer or other machine. Functional requirements for computer systems that
can be used to manage electronic records have been produced by the US
Department of Defence, the National Archives of England & Wales and the
European Commission. It is noteworthy that the Moreq specification has been
translated into at least twelve languages[4] and is used beyond the borders of
Europe. Development of MoReq was initiated by the DLM Forum[5], funded by
the European Commission.
Particular concerns exist about the ability to retain and still be able to access and
read electronic records over time. Electronic records require appropriate
combinations of software versions and operating systems to be accessed, and so
are at risk because of the rate at which technological changes occur. A
considerable amount of research is being undertaken to address this issue,
under the heading of digital preservation. The Public Record Office Victoria
(PROV) located in Melbourne, Australia published the Victorian Electronic
Records Strategy (VERS) which includes a standard for the preservation, long-
term storage and access to permanent electronic records. The VERS standard
has been adopted by all Victorian Government departments. A digital archive has
been established by PROV to enable the general public to access permanent
records.

Benefits of a records management system~ Ten Business Reasons

Every business or program must address well-defined objectives which will add
value, either directly to the bottom line or toward the achievement of the
organization's goals and objectives. Records management (RM) objectives
usually fall into one of three categories:

Service (effective and efficient),

Profit (or cost-avoidance), and
Social (moral, ethical and legal) responsibility

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Records management programs must manage organizational information so that
it is timely, accurate, complete, cost-effective, accessible and useable. Better
information, at the right time, makes better business.

Records management programs are not generally an organization's primary

business, and even though RM programs don't usually generate income, the
following are the most important reasons to set up a good records management
program in your office anyway.
To Control the Creation and Growth of Records
Despite decades of using various non-paper storage media, the amount of paper
in our offices continues to escalate. An effective records management program
addresses both creation control (limits the generation of records or copies not
required to operate the business) and records retention (a system for destroying
useless records or retiring inactive records), thus stabilizing the growth of records
in all formats.
To Reduce Operating Costs
Recordkeeping requires administrative dollars for filing equipment, space in
offices, and staffing to maintain an organized filing system (or to search for lost
records when there is no organized system).
It costs $22 less per linear foot of records to store inactive records in the Federal
Records Centre versus in the office. [Multiply that by 30% to 50% of the records
in an office that doesn't have a records management program in place], and
there is an opportunity to effect some cost savings in space and equipment, and
an opportunity to utilize staff more productively - just by implementing a records
management program.
Usually, in an office that doesn't have a records program; 30-50% of the files
could be stored off-site. In EPA, we average 25 feet of paper per person. In a 30
person office that could mean a savings of $7,000 annually!

To Improve Efficiency and Productivity

Time spent searching for missing or misfiled records are non-productive. A good
records management program can help any organization upgrade its
recordkeeping systems so that information retrieval is enhanced, with
corresponding improvements in office efficiency and productivity. A well designed
and operated filing system with an effective index can facilitate retrieval and
deliver information to users as quickly as they need it.

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To Assimilate New Records Management Technologies
A good records management program provides an organization with the
capability to assimilate new technologies and take advantage of their many
benefits. Investments in new computer systems don't solve filing problems unless
current manual recordkeeping systems are analyzed (and occasionally,
overhauled) before automation is applied.

To Ensure Regulatory Compliance

In terms of recordkeeping requirements, the United States is the most heavily
regulated country in the world. These laws can create major compliance
problems for businesses and government agencies since they can be difficult to
locate, interpret and apply. The only way an organization can be reasonably sure
that it is in full compliance with laws and regulations is by operating a good
records management program which takes responsibility for regulatory
compliance, while working closely with the Office of General Counsel. Failure to
comply with laws and regulations could result in severe fines, penalties or other
legal consequences.

To Minimize Litigation Risks

Business organizations implement records management programs in order to
reduce the risks associated with litigation and potential penalties. This can be
equally true in Government agencies. A consistently applied records
management program can reduce the liabilities associated with document
disposal by providing for their systematic, routine disposal in the normal course
of business.

To Safeguard Vital Information

Every organization, public or private, needs a comprehensive program for
protecting its vital records and information from catastrophe or disaster, because
every organization is vulnerable to loss. Operated as part of the overall records
management program, vital records programs preserve the integrity and
confidentiality of the most important records and safeguard the vital information
assets according to a "Plan" to protect the records.

To Support Better Management Decision Making

In today's business environment, the manager that has the relevant data first
often wins, either by making the decision ahead of the competition, or by making

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a better, more informed decision. A records management program can help
ensure that managers and executives have the information they need when they
need it.

By implementing an enterprise-wide file organization, including indexing and

retrieval capability, managers can obtain and assemble pertinent information
quickly for current decisions and future business planning purposes.

To Preserve the Corporate Memory

An organization's files contain its institutional memory, an irreplaceable asset that
is often overlooked. Every business day, you create the records which could
become background data for future management decisions and planning. These
records document the activities of the Agency which future scholars may use to
research the workings of the Environmental Protection Agency in the 1990's.

To Foster Professionalism in Running the Business

A business office with files askew stacked on top of file cabinets and in boxes
everywhere creates a poor working environment. The perceptions of customers
and the public, and "image" and "morale" of the staff, though hard to quantify in
cost-benefit terms, may be among the best reasons to establish a good records
management program.

Records as a vital source

As of 2005, records management has increased interest among corporations

due to new compliance regulations and statutes. While government, legal, and
healthcare entities have a strong, historical records management discipline,
general record-keeping of corporate records has been poorly standardized and
implemented. In addition, scandals such as the Enron/Andersen scandal, and
more recently records-related mishaps at Morgan Stanley, have renewed interest
in corporate records compliance, retention period requirements, litigation
preparedness, and related issues. Statutes such as the US Sarbanes-Oxley Act
have created new concerns among corporate "compliance officers" that result in
more standardization of records management practices within an organization.
Most of the 90s has seen discussions between records managers and IT
managers, and the emphasis has expanded to include the legal aspects, as it is
now focussed on compliance and risk.

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Privacy, data protection, and identity theft have become issues of interest for
records managers. The role of the records manager to aid in the protection of an
organization's records has often grown to include attention to these concerns.
The need to ensure that certain information about individuals is not retained has
brought greater focus to records retention schedules and records destruction.

The most significant issue is implementing the required changes to individual and
corporate culture to derive the benefits to internal and external stakeholders.
Records management is often seen as an unnecessary or low priority
administrative task that can be performed at the lowest levels within an
organisation. Publicised events have demonstrated that records management is
in fact the responsibility of all individuals within an organisation and the corporate
entity.
Related topics of current note include: information lifecycle management and
enterprise content management.

Symptoms of inefficiency & business impact of poor RM life-cycle

There may be considerable business benefits by introducing an institutional

Records Management programme. These include the streamlining of business
processes, a reduction in both the staff time and physical space needed for
managing and exploiting records and the foundation of an information-rich
organisation able to maximise and exploit the knowledge it contains.

The average filing cabinet requires approximately 1 square metre of space to

house the cabinet itself and allow sufficient space for its drawers to be opened
and contents accessed. With office accommodation costs within urban
universities estimated to be in excess of £600 per square metre per annum it is
easy to see how the storage of unnecessary records can represent a significant
but largely overlooked cost to the institution.

It has been estimated that staff spend as much as 10% of their time at work
searching for information, a figure which could be improved upon through the
timely removal of duplicate and unnecessary records, the standardisation of filing
and naming conventions and the application of meaningful descriptions of
information resources often referred to as metadata.

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Effective Records Management may also help you to realise the maximum return
on investment from your electronic assets by providing the cornerstone of your
institution’s digital preservation strategy. This will ensure ongoing, controlled
access to valuable and in some instances ‘business-critical’ information, whilst
also protecting your interests against deliberate or accidental damage.

Institutions may also gain some competitive advantage by providing the base for
better long-term asset management, improved public image, and an ability to
respond quickly and appropriately to new situations and demands.

Hazards/risks to records and disaster planning

Week1 – Day21 16th December

Types of risks

Einstein is credited with saying:

"The ultimate insanity is to continue to do the same thing and expect a different
result"
Records and recordkeeping systems are always potentially at risk of disaster.
Due to the importance of records, their loss in a disaster can be crippling for the
agency responsible. 1 The development of a Records Management Disaster
Recovery Plan can provide many benefits for an agency’s records and
recordkeeping systems.

What can be done about the risks

This section of the Toolkit includes a Checklist for the progress of a Records
Management Disaster Recovery Plan. It contains each of the broad steps that
require completion to produce an effective plan. Sections can be worked through
in order and can be used as a reference tool to view your progress. It can also be
a useful tool in reporting to management where you are in developing your
records management disaster recovery plan. Check the boxes as you complete
each step.

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Template 1 - Progress Checklist
(Reference: Heritage Collections Council, Department of Communications, Information
Technology and the Arts. Be Prepared: Guidelines for small museums for writing a disaster
preparedness plan, p. 59)

COMPLETED / TO DO

STEP 1. Assess all risks and threats � / �

STEP 2. Reduce or remove those risks � / �

STEP 3. Prioritise collection � / �

STEP 4. Establish a Disaster Response Team � / �

STEP 5. Establish support networks � / �

STEP 6. Prepare the Disaster Response Plan � / �

STEP 7. Prepare the Disaster Recovery Plan � / �

STEP 8. Train all staff � / �

STEP 9. Review the plan � / �

Records & Disasters

One of the most important elements in developing a records management

disaster recovery plan is the identification of those disasters that may affect your
agencies records and recordkeeping systems. A disaster can be defined as “any
event that creates an inability on an organisation’s part to provide critical
business functions for some predetermined period of time.”2 Disasters can be
natural, structural, chemical, industrial, technological, criminal or accidental.
Agencies can prepare for disasters firstly by identifying which disasters may pose
a risk to their records or recordkeeping systems before they strike. Agencies can
do this by conducting a Disaster Review of their agency and perhaps include
other agencies within close proximity to your organisation or those carrying out
similar functions. This information can be obtained by speaking with members of
staff internally, approaching other agency staff and consulting with emergency
services personnel to obtain a history of previous disasters within your area.
Consider a brainstorming session with staff in your agency or perhaps conduct a
‘walk-through’ of your agency and document any possible hazards or disasters
on your premises.

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 Template 2 - Disaster Review Form
(Reference: Heritage Collections DAMAGE CAUSE DURATION
Council, Department of
Communications, Information
Technology and the Arts. Be
Prepared: Guidelines for small
museums for writing a disaster
preparedness plan, p. 60) TYPE
OF DISASTER

Risk Management

Risks affecting records and recordkeeping systems should be identified and

assessed in order to manage disasters appropriately.3 This section provides
some suggested methods for identifying hazards, assessing their likelihood and
potential impact and developing an action plan to reduce or remove any
associated risks. This section also contains some critical needs questions for
agencies to identify their critical needs for information and equipment that are
necessary to continue business operations if an agency were to experience a
disaster or if this information or equipment became inaccessible. of your agency
and document any possible hazards or disasters on your premises.

Template 3.1 - Hazard Checklist

(Reference: Heritage Collections Council, Department of Communications, Information
Technology and the Arts. Be Prepared: Guidelines for small museums for writing a disaster
preparedness plan, p. 61)

Industrial Disasters

Electrical power failure �

Fuel Supply failure �

Water supply failure �

Explosion �

Fuel spill �

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Chemical spill �

Structural collapse �

Sewer failure or back up �

Extreme / prolonged air pollution �

Structural fire (internal) �

Exposure fire (external) �

Natural Disasters

Severe thunderstorm �

Sleet, hail, ice �

Windstorm �

Flash flood �

Slow-rising flood �

Fire (bush fire) �

Drought (prolonged) �
Earthquakes �

Human (incl. Criminal) activity

Accidents by individuals �

Armed robbery �

Arson �

Bombing �

Bomb threat �

Riot and civil disorder �

Sabotage �

Terrorist attack �

Hostage taking �

Vandalism �

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Accidents involving

Bodily injury �

Broken fuel pipes �

Broken water or sewer pipes �

Downed power or phone lines �

Aircraft (crashes) �

Construction equipment �

Motor vehicles �

Ships and boats �

Trains �
Transport or chemicals or fuels �

Template 3.2 – Risk Assessment Template

(Reference: Heritage Collections Council, Department of Communications, Information
Technology and the Arts. Be Prepared: Guidelines for small museums for writing a
disaster preparedness plan, p. 62)

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Template 3.3 – Action Plan to Reduce or Remove Risks
Template
(Reference: Heritage Collections Council, Department of Communications, Information
Technology and the Arts. Be Prepared: Guidelines for small museums for writing a
disaster preparedness plan, p. 63)

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Template 3.4 – Critical Needs Questionnaire Checklist
(Reference: State Records, New South Wales, Guidelines of Counter Disaster
Strategies for Records and Recordkeeping Systems, 2002. p. 46-47)
Ask yourself these questions. Answers will help agency staff in the development
of the disaster recovery plan or can provide a valuable source of information to a
Consultant preparing your agency’s plan.

 If a disaster occurred, how long could your agency function without the
existing equipment and organisation?

 What are the high priority tasks including critical manual functions and
processes within your agency? How often are these tasks performed?
Daily? Weekly? Monthly?

 What staffing, equipment forms and supplies would be necessary to

perform these high priority tasks?

 How would the critical equipment, forms and supplies be replaced in a

disaster situation?

 Does any of the above information require long lead times for
replacement?

 What reference manuals and operating procedure manuals are used?

How would these be replaced in the event of a disaster?

 Should any forms, supplies, equipment, procedure manuals or reference

manuals from your agency be stored in an off-site location?

 Identify the storage and security of original documents. How would this
information be replaced in the event of a disaster? Should this information
be in a more protected location?

 What are the current computer back-up procedures? Have the backups
been restored? Should any critical backups be stored off-site?

 What would the temporary operating procedures be in the event of a

disaster?

 How would other agencies be affected by a disaster in your agency?

 What effect would a disaster at the main computer server have on your
agency?

 What external service/vendors are relied upon for normal operation?

 Would a disaster in your agency jeopardize any legal requirements for

reporting?

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  Is any of your agency staff trained in disaster procedures?

 Have personnel been specifically trained in debriefing techniques?

 Who would be the person responsible for maintaining your agency’s

contingency plan?

 Is your agency moving to new or updated electronic systems and how

would this be affected by a disaster in terms of “in-house” knowledge
available?

 How have any current projects to improve the accuracy and completeness
of your organisation’s databases been factored in your disaster planning?

 Do you know the development history of your databases; the uses of any
locally defined codes, practices and requisite system capabilities?

 How many users of your computer system need access to its applications
to continue your business functions at emergency levels? Can this team
be mustered in time and have the computer network recovery
requirements been defined?

 Do the agreements with external consultants developing or updating

electronic systems cover disaster events? Has any form of incident
management planning been undertaken?

 Has there been any coordination or melding of the teams responsible for
facility integrity and information security? Has your organisation moved
away from separate plans to protect physical structures and information
assets to a plan to protect your ability to operate? Can your organisation’s
intellectual property, in confidence dealings, trade secrets, or proprietary
information be protected during or after a disaster event?

 Are there other concerns related to planning for the disaster recovery and
have these concerns been addressed?

Planning for the worst

Planning for disasters is a requirement for meeting Adequate Records

Management practices, Outcome 7 in accordance with Adequate Records
Management: Meeting the Standard (2002). This section includes a checklist for
the contents of your agencies records management disaster recovery plan with
brief information on what each section should include. This checklist can be
checked off as each section is completed and will assist when reporting on
progress to management in more detail than the Progress Checklist in
Introduction. Also included is further information regarding Disaster Bins and
Disaster Stores, and what to include in each (with corresponding checklists). The

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supplies and methods used for storing disaster recovery tools and equipment will
depend on the requirements of the agency, its size, function and budgetary
constraints. This will however serve as a good starting point for developing
disaster recovery bins and stores.

Template 4.1 – Contents of Disaster Preparedness Plan

Checklist
(Reference: State Records, New South Wales, Guidelines on Counter Disaster Strategies for
Records and Recordkeeping Systems, 2002, p. 47– 51)

Check off the sections already completed as you go.

� Background / Cover Page

� Authorisation Page

This may be a letter or summary from the Chief Executive Officer (CEO)
or Senior Management.

� Distribution

Includes a spiel about the staff required to read the plan and the staff
required to use the plan.

� Confirmation Form

The person responsible for the plan signs this form. However, some
organisations require staff to sign and date the form after reading the plan.

� Policy Section

Includes the policy on confidentiality of counter disaster plans and

information held by the organisation; aims and priorities of the
organisation in terms of disaster and recovery management; overall goal
of the plan; authority and responsibility designations; who changes
policies and how policies are changed; and conditions for invoking the
counter disaster plan.

� Plan administration section

Includes who maintains the plan; how changes are made to the plans
(including time limits for any review or evaluation of incidents); plan review
and audit procedures; and exercise and training activities.

� Risk Assessment section

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 Outlines how and when risks assessments should occur and identifies
some potential risks and their impact on records and recordkeeping
systems.

� Pre-disaster section
This section deals with the organisational policy on disaster management.
It should include the responsibilities of the organisation; individual or group
or department responsibilities for health, safety and disaster reduction; risk
reduction control; management procedures for dealing with non-
organisational people on a site when a disaster occurs; and general
instructions on information management.

� Communication policy section

This section deals with information management in more detail. It includes

who is to be informed; how information will be exchanged; media briefing
instructions; instructions on dealing with inquiries from outside the
organisation; instructions on dealing with stakeholders (including staff,
customers, suppliers, creditors and insurers); and ministerial liaison.

� Finance, legal and administration

Outlines how these activities will be conducted within the disaster

management response (and recovery) to monitor and coordinate activities.

� Warning and Alert Section

Outlines the types of warning and alert systems used in the organisation;
designated officer(s) for alert/warning systems review; alert/warning
systems maintenance; alert and warning messages (descriptions of
sounds used, statements or any announcements); staff obligations when
alerted; evacuation and security procedures; safety or evacuation sites;
and contact telephone, pager, or email addresses and internal information
procedures during and after a disaster.

� Command and Co-ordination Section

Defines the lines of command and communication in terms of the disaster

structure; the site and location of the disaster command centre (and
alternatives); contact list of non-internal emergency service agencies
(contacts and authority); and disaster manager contact and disaster team
contact numbers (and alternatives).

� Disaster Response Section

This is a large and often sub-sectioned set of outlines covering disaster

response actions and activities. This should include identification and

22
 declaration of a disaster situation; procedures for handling elements of the
disaster event; and procedures for handling elements of disaster impact.
With each indicated group in disaster response, there will be an
accompanying team leader and alternative contact list and a list of team
member contacts.

� Recovery management section

Includes activating the restoration or continuity plans; priority recovery of

vital records and critical data (includes lists of vital records, location and
control documentation); procedures an technical information for handling
damaged materials; lists of resources, equipment and services required to
deal with disaster situations; debriefing personnel involved in the disaster;
advice to staff regarding the recovery operation; and assistance and
counselling information.

Post recovery management section

Includes dealing with outside organisations such as insurers, professional

disaster response organisations; review and evaluation of disaster
situation; procedures for formal closure of a disaster; disaster response
evaluation form for feedback on perceptions of warnings, impacts, a
management and outcomes of the disaster situation; procedures for post
disaster analysis, review and updating of the plan; and reporting
requirements for disaster (e.g. to Board, Committees, etc).

Template 4.2 - Disaster Bins and Disaster Stores

Important to every disaster plan is a list of disaster recovery equipment and
supplies. This list should highlight the available equipment and supplies that you
have gathered and stored in preparation for a disaster and where they are
located. The items may be stored in a variety of places e.g. a box, cupboard,
storeroom or a ‘wheelie’ garbage bin. The system you choose for storing your
disaster preparedness items will depend on the equipment and supplies you
have and the size of your records collection.
It is a good idea to list the equipment and stores that your agency may be
required to purchase or rent, and where these items can be obtained from in the
event of a disaster if they already are not in your disaster bin or store. It is also a
good idea to document where the supplies you already have in your disaster bin
and store have been purchased or obtained from, so that extra supplies can be
ordered as needed. This list should be revised and updated to ensure the list of
suppliers is current.
‘Wheelie’ Bins

23
‘Wheelie’ bins are good storage units for dealing with small disasters and the
immediate response to a larger disaster. Being on wheels, they are easily moved
to the disaster site and they keep the contents clean and dry. If you are using a
wet and dry vacuum cleaner to pump out water, the bin (emptied of its contents)
may be used to contain the water as it is being sucked up. Similarly, an empty
bin can be used to catch water in a leak situation (depending on the location of
the leak). The disadvantage of a large ‘wheelie’ bin is its size. It can be very
difficult to reach materials at the bottom of the bin. There are smaller sizes of
wheelie bins available.
The bin should be clearly identified as a disaster bin and to be used for disaster
response and recovery only. A list of the contents inside the bin should be
attached to the bin also. The bin should be located in an easily accessible space
that is not crowded or hindered by obstacles that could potentially slow down the
response and/or recovery activities. The bin should also be located away from
any public places within your office. This will remove the temptation of staff
raiding the bin for a pair of scissors or a dustpan. It will also ensure that the bin is
not mistakenly used as a rubbish bin by staff. Some agencies may decide to
place a lock on the bin. It is important to remember that when using a lock to
secure disaster supplies, make it clear where the key can be located.
Storeroom
Agencies may decide to store disaster recovery supplies in a storeroom that is
separate to their own building. The advantage of this is that it allows ease of
access during a large disaster. Imagine the frustration in having the disaster
recovery team assembled to attend to the situation, only to find that the supplies
are inaccessible or have been destroyed by fire or flood. Whilst this is an option
worth considering, it may not be possible for some agencies given this option
would be more costly than obtaining several disaster bins.
Supplies
All supplies need to be clearly marked as Disaster Bin or Disaster Store supplies,
to be used in disaster response and recovery activities only. Disaster supplies
can be locked away in a ‘wheelie’ bin, in a cupboard or in a storeroom. Where
supplies are locked away, make it clear where the key can be found. There is no
point having all your supplies if staff can’t access them in the event of a disaster.
Perhaps leave a set of keys with members of the management team or team
leaders of the disaster response teams. An alternative to using a lock and key to
secure disaster supplies are the plastic snap lock fittings fitted through holes in
the lid of the disaster bin. 7 These snap lock fittings allow easy access to
supplies inside the disaster bins whilst preventing people from ‘borrowing’ items
such as scissors or blotting paper from the bin.
8
Heritage Collections Council, Commonwealth Department of Communications, Information

Template 4.3 - Disaster Bins Checklist

24
 (Reference: Heritage Collections Council, Commonwealth Department of Communications,
Information Technology and the Arts, Be Prepared: Guidelines for small museums for
writing a Disaster preparedness plan, 2000. p. 83-89 and State Records, New South Wales,
Guidelines on Counter Disaster Strategies for Records and Recordkeeping System, 2002,
Appendix 3 & 4).

Below is a list of suggested disaster recovery items that could be included in an agency
disaster bin(s).8 The list should include the various types of items to be included and also
where these items can be located.

Please note: This is only a suggested list of items to USE

include in your disaster bin and should be referred to
as a starting point only for the brainstorming of other
items to include in your disaster bin. As each agency
is different in terms of function and size, items in
disaster bins will vary. ITEM

� Baggage labels Labelling crates

� Bin liners Containing rubbish

� Blotting paper Interleaving, drying fragile

items

� Buckets For initial clean up

� Clipboards Recording information

� Clothes line cord Hanging items to dry

� Coloured chalk (box) Delineating areas

� Disaster response & recovery Internal processes

� Disposable camera Recording disaster and

recovery process

� Dust masks Protection against dust and

mould

� First aid kit Personal safety

� Freezer bags For items intended for

freezing

� Gauze bandage Protecting fragile items

25
� Gloves, box of disposable Personal safety/protection of
objects

� Gloves, cotton Handling dry objects

� Gloves, latex Personal safety

� Goggles, safety Personal protection

� Mop (squeeze style with handle) Initial clean up

� Newsprint (butcher’s paper) Interleaving, table covers, etc

� Nylon net Padding out 3 dimensional objects

� Overalls, disposable Personal protection

� Packaging tape Attaching plastic sheeting,

securing lines, etc

� Paintbrushes Cleaning mud/soot/dust

� Paper towel perforated on a roll Interleaving

� Pencils Documentation

� Pens, waterproof Writing labels

� Plastic containers with lids Containing small items

� Plastic pegs Hanging items to dry

� Polyethylene sheeting Channelling water, covering

objects, covering tables

� Protective aprons Personal protection

� Salvage procedures action sheets Internal processes

� Scissors Cutting cord, polyethylene

sheeting, paper, etc

� Sponges, large Mopping up spills

� Stanley knife Cutting various materials

� String Tying materials together,

multipurpose

26
� Torches (dolphin style with batteries) In case of diminished light

� Whistles Calling everyone back together

� Writing pads Documentation

� Zip lock bags (various sizes) Holding small items or

broken pieces

� Dust pan and broom Clean up

9

Template 4.4 - Disaster Store Checklist

(Reference: Heritage Collections Council, Commonwealth Department of Communications,
Information Technology and the Arts, Be Prepared: Guidelines for small museums for
writing a Disaster preparedness plan, 2000. p. 83-89 and State Records, New South Wales,
Guidelines on Counter Disaster Strategies for Records and Recordkeeping System, 2002,
Appendix 3 & 4)

Below is a list of suggested disaster recovery items that could be included in an agency
disaster store, separate to the building or in a large cupboard.9 The list should include the
various types of items to be included and also where these items can be located.

Please note: This is only a suggested list of items to USE

include in your disaster store and should be referred to
as a starting point only for the brainstorming of other
items to include in your disaster store. As each agency
is different in terms of function and size, items in
disaster stores will vary. Some of these items are
expensive and depending on your agency, it may be
more cost effective to hire these as needed. ITEM

� Signage Warning signs for people eg

slippery

� Battery operated radio Communication

� Bread trays Moving and air drying

materials

� Brooms, outdoor Move mud, dirt, dust, water

� Clean rags/towels Mopping up, drying textile

27
 items, etc

� Crates, plastic Transporting materials

� Dehumidifiers Drying the building

� Dining canopies Temporary work space

� Disposable overalls Personal protection

� Distilled water Supply of clean water

� Electrical safety switches Turns power supply off if there

is a power surge

� Emergency tape Section off areas

Template 4.5 – Storage and Handling Requirements Checklist

The storage facility

Is the facility of sturdy and intruder- Yes No

resistant construction suitable for
prevailing weather conditions?

Is the floor capable of holding the weight Yes No

of fully loaded shelving/racking/cabinets?

Is the facility free of water leaks and Yes No

dampness?

Internal environment of storage facility

Is the facility well ventilated? Yes No

Is the facility well lit with a minimum of Yes No

natural light?

Does the facility have a stable temperature Yes No

(preferably inside the range 15–27°C, with
no more than 5°C variation in any 24 hour
period) and humidity (preferably 30-
60%RH, with no more than 5%RH
variation in any 24 hour period)?

Is the facility clean and free of dirt and Yes No

dust?

28
Is the facility free of insects and rodents? Yes No

Official records containers

Are official records packaged into Yes No

containers prior to receipt into a storage
facility?

Are containers clean and in good Yes No

condition?

Are containers designed to fit the records? Yes No

Are the containers used strong enough to Yes No

withstand handling, pressure and weight of
the records?

Are the containers of a quality and Yes No

composition commensurate with the
record’s format, media and use?

Are the containers capable of being Yes No

handled in a safe and easy manner?

Shelving/cabinets/racking

Are shelving/cabinets/racking raised off the Yes No

floor as a disaster precaution (preferably by
85–150 mm)?
Do shelving/cabinets/racking not restrict Yes No
good ventilation in the storage area?
Do shelving/cabinets/racking enable ready Yes No
and safe access to official records?

Handling equipment

Does any handling equipment used comply Yes No

with occupational health, safety and
welfare codes of practice?

Security and confidentiality

Are fire alarms installed and linked to a Yes No

readily available emergency service?

Is fire-extinguishing equipment installed Yes No

and tested on an annual basis?

Is there protection against unauthorised Yes No

29
 access to both the physical and information
systems environment?

Is there controlled access to storage areas? Yes No

Are there measures for protection of Yes No

confidentiality of personal information
contained in ’sensitive’ files (e.g. records
of legal proceedings, medical records)?

Are there measures for screening staff Yes No

involved in providing services?

Is there a current and adequate disaster Yes No

response plan, reviewed annually?

Vital Records identification

A vital record is a record that contains information essential to the survival of an
organisation. Vital records usually make up a small portion of the records created
by an agency but should be the main priority for recovery and salvage efforts
following a disaster.
This section provides templates to be used when identifying your agencies vital
records. The templates provide for their documentation at three different levels:
• In detail;
• By record types;
• By location.

You may choose to use each of the three levels of documentation; however, it
may be more suitable for your agency to use just one of the following templates.
Use the template that best suits your agency’s situation.

Template 5.1 – Vital Records List (detailed list)

(Reference: State Records, New South Wales Records, Guidelines on Counter Disaster
Strategies for Records and Recordkeeping Systems, 2002, p. 32-33)

30
 This list has been developed in line with the State Records Authority of New South Wales’
Counter Disaster Strategies for Records and Recordkeeping Systems guideline. The
information on this list can be used to document in detail your agencies vital records and
assist with the creation of Templates 5.2 and Template 5.3, if necessary. Agencies may
decide to expand this table to include further information, including the amount of reference
activity or frequency of use; existing records protection, such as the storage equipment used;
the cost of records protection; the consequences of loss to the organisation; how vital records
are transported; and when records are to be transferred to secondary storage or destroyed.10
Agencies may find it useful to develop a Priority Records List based on the Vital Records List
that includes other important records within your organisation, rather than just the vital
records. This list is just a starting point and agencies should adapt this list to the needs of
their agency.

ID No. Area Title Vital Format Location Currency

Responsible

Identification Number Name of area Title of series or Why is the Record format Physical location Frequency of
for each record responsible for electronic record vital? (of original and update
record series or recordkeeping duplicates)
electronic system
recordkeeping
systems

Template 5.2 – Vital Records List (by Record)

RECORD LOCATION SECURITY

Template 5.3 – Vital Records List (by Location)

LOCATION RECORD SECURITY

Response
How we respond to a disaster has a large impact on the damage that disaster will
have on an agency’s records and recordkeeping system. Response involves

31
putting the disaster recovery plan into action and gathering all the resources that
your agency will need to protect and secure their assets from loss.
Located in this section is an Emergency Contact List that agencies will need to
amend and develop to suit their own needs. This list is useful in contacting
emergency personnel outside of your agency depending on the type and extent
of the disaster. It is only a suggested list and each agency should obtain relevant
contacts for services relevant to their operations. It is a good idea to make
contact with those on your list to develop a rapport prior to the disaster occurring.
In addition to the Emergency Contact list is the Telephone Tree. The Telephone
Tree serves as a quick reference point indicating who to call within your own
agency and whom they then need to call. Basically every person who receives a
call then makes a call to another person and so on. The Telephone Tree charts
who should be called and by whom.
Also included in this section is a Response and Recovery Flowchart, which
briefly shows the steps taken during this process and should be used to trigger
one’s memory in a time of stress. It is by no means a conclusive list but a next
step guide to what you should think about next. This flowchart may need to be
revised and amended by your agency to make it more specific to your needs.
Also included is a Safety Check Flowchart. This flowchart will assist in
determining whether there are any risks to your safety prior to entering the site.
Safety should be your number one focus at all times.
Publications such as Be Prepared: A Guideline …contain examples of specific
procedures to follow for specific disasters e.g. fire, flood, etc. You may decide to
create similar procedures to follow when faced with a specific disaster. You will
need to identify which disasters your agency is most likely to face when
developing these, or have a procedure for all possible disasters.

Template 6.1 – Emergency Services List

32
 Telephone Tree

SERVICE NAME CONTACT NUMBER

Police, Fire Brigade, Ambulance 000

All hours

Police Attendance

Police Headquarters

Police security Services Division

Traffic Operations Unit, Officer in charge

Ambulance

Non emergency booking

Country operations

General enquiries

State Emergency Services

Rescue, sandbagging, roof protection, etc

Council / Shire Offices

Plumber

Electrician

Water

Gas

Pest Control

Insurance Company (Policy no.)

Conservator

Engineer
Safety Check Flowchart

33
 Template 6.5 – Assessing and Stabilising the Situation
(Reference: Heritage Collections Council, Department for Communications, Information
Technology and the Arts, Be Prepared: Guidelines for small museums for writing a disaster
preparedness plan, 2000, p. 76)

Work through the following questions to develop an YES/NO

accurate picture of the situation you face. QUESTIONS

Is the cause of the disaster still ongoing?

What needs to be done to prevent further damage?

Is the site safe?

What extent of the collection has been damaged?

What is the main type of damage? (Water, fire, breakage)

Are there any object or areas in immediate danger?

Does the full Disaster Response Team need to be called? (See Telephone Tree)

Does the situation need to be documented?

Does outside help or expertise need to be called? (See Emergency Contact List)

Does the environment need to be further stabilised?

(eg water or smoke damage)

Have any of the priority items been damaged?

Does the Recovery Plan need to be activated?

What needs to be done to allow the recovery to begin?

Do we need to move to our off-site location?

Recovery
Recovery is the final stage of managing a disaster to your organisation. It
includes restoring business operations and the treatment and recovery of your
records and recordkeeping systems. Included within this section are an In-house
Disaster Response Team Listing which provides who is responsible for what

34
roles; steps in effective disaster recovery; a damaged records documentation list
which documents all the records damaged, their treatment and location; advice
on how to pack records during a recovery operation; advice on how to stabilise
records and drying methods and how to recover records following a disaster.

Template 7.2 – Steps in Effective Disaster Recovery

(Used with permission from the Heritage Collections Council, DCITA publication Be
Prepared: Guidelines for small museums for writing a disaster preparedness plan, 2002, p.
78)

(Once immediate response is complete and the building is declared safe)

1. Assemble Disaster Response Team and prepare to sketch out the Recovery
Plan.

2. Review the situation and make sure you have all relevant information:

• Extent and type of damage

• Priority list objects/items that were damaged

• Condition of the environment of the building

• General feeling about size of recovery operation (will outside help be

required?)

3. Ensure all damage is documented and photographed.

4. Determine what you need for recovery – volunteers, material and equipment,
outside expertise, space, freezer facilities.

5. Organise the team – some to focus on environment, others on salvage.

6. Modify (stabilize) the environment (remove wet material, open windows, fans)

7. Specify which salvage procedures will be used and decide on the Team
Leaders for each procedure.

8. Use Action Sheets and salvage procedures to set up the areas for salvage.

9. Move into salvage operations – making sure all object/item movement and

35
treatment is documented.

10. Ensure adequate supplies are on hand and that you have all the help you
need.

11. Ensure all formal notifications have occurred – council, insurance company,
etc.

12. Ensure all workers are well looked after. Celebrate milestones and keep
everyone informed.

Template 7.3 – Action Sheet Example

(Reference: State Records, New South Wales, Guidelines on Counter Disaster Strategies for
Records and Recordkeeping Systems, 2002, p. 79)

Salvage Procedure for Air Drying - an example

The following is an example of a simple Action Sheet for air-drying of water-

damaged books. These Action Sheets can be used for many of the procedures
outlined in the Disaster Preparedness Plan, both in the recovery and the
response procedures. Several copies should be made of salvage procedure
Action Sheets, so they can be given to new volunteers when helping in the
disaster recovery.

Air-drying salvage procedures for books

1. Do not try to close open books

2. Remove plastic covers where possible

3. Interleave coated pages by placing paper towel, Reemay or waxed paper

between every page pair. If paper towel is used, change it regularly.

4. If the book is wet, interleave every 3–5 mm with paper towelling, and stand it
with the wettest end up. If the book is too weak to stand, lay it flat.

5. Change interleaving regularly.

6. Suspend pamphlets, light volumes and magazines over drying lines

7. For books with thick covers, place a sheet of water-resistant film such as
polyester inside the front cover to prevent moisture migrating to the text.

8. Do not hang heavy or sodden books, newspapers or magazines.

Template 7.4 – Damaged records documentation list

36
 (Reference: State Records, New South Wales, Guidelines on Counter Disaster Strategies for
Records and Recordkeeping Systems, 2002, p. 80)

(To record damage, Number Damage Category (of Treatment Location

treatment and salvage)
movement of records)
Record

Template 7.5 – Packing records in a recovery operation

(Reference: State Records, New South Wales, Guidelines on Counter Disaster Strategies for
Records and Recordkeeping Systems, 2002, Appendix 5, p. 1-3)

There are two types of packing that may be needed in a recovery operation:

• pre-evaluation packing where records need to be packed and taken to a

different treatment site, in other parts of the building or in a different building, and

• post evaluation packing where records are packed for freezing.

Using either method, boxes should not exceed the weight recommended by
Occupational Health and Safety Officers. All rare, intrinsically valuable and
delicate material should be prepared for freezing separately from other materials
and in separate categories so they can be located and identified for treatment by
a conservator.

For pre-evaluation packing, paper records can be packed in plastic crates and
taken by trolleys to the vehicle. Plastic crates are better for very wet records than
cardboard boxes, which can sag and break with moisture and pressure.
Volumes should not be flattened, simply packed as they are. They should be
taken to the evaluation manager at the treatment site.

For post evaluation packing where there are small amounts of damaged
materials, debris can be washed away under cold running water (if clean) by
experienced people unless the material is fire damaged or contains soluble inks
and dyes. Volumes, books or groups of papers should be held in two hands and
dipped into containers of clean water or a hose should be gently applied
providing the water is not contaminated. No materials should be scrubbed. In
cases where there are vast amounts of material to pack, washing may not be
viable.

The following packing rules should apply:

Volumes

37
• Very wet volumes should be packed separately and vertically with their spines
down. Volumes of similar size should be packed together in a single layer and
supported so that they do not bend. There should be a little space left in plastic
crates to allow for their expansion when frozen.

• If it is likely that dyes from the covers of volumes will run, or if time allows, they
should be individually wrapped or at least every other wrapped. Use wax or
freezer paper, not plastic or plastic coated paper.

Documents, files and cards

• Wet files should be wrapped in batches that are not more than 10cm deep.
Large items should be packed flat on the bottom so that they will not sag. If wet
file covers are removed because of damage care should be taken to identify
loose documents.

• Soaking wet bundles of wet paper that sustain damage should be packed into
large plastic bags or packed on their side in boxes. Do not try and separate
them, as it is labour intensive.

•Scattered sheets should be placed together in relation to their location and the
approximate location noted.

• Files and cards should be left where possible in the original boxes, unless the
contents are dry and can be taken out and put in dry boxes without risk of
damage.

• Burnt, scorched or dirty records should be supported on single sheets of

uncoloured cardboard or heavy paper when transferring to crates. Microfilm

• Microfilm should be left in storage cartons and secured with rubber bands to retain
labels.

Maps and plans

• Large format items such as maps should be interleaved with blotting paper and
polythene and placed on flat supports (may be several on each). Do not build up
too much weight.

Remember when packing that you need to record information about the item and
its location. If records are not in boxes or containers, or if the containers have no
identification, label each box or bundle showing the location and identification if
possible. Use a soft pencil and paper to write on labels that should be tied onto
boxes or bundles. Do not use coloured paper, felt tipped or ballpoint pens or
writes on the records themselves. Crates should be numbered and the numbers

38
added to documentation, and the removal and destination of boxes should be
recorded.

Material should not be piled on top of each other or moved in large batches. It
should not be left packed for more than a few hours. If the journey to the freezing
facility is long, refrigerated vans are desirable.

Template 7.6 - Stabilising and drying methods

(Used with permission from State Records, NSW, publication Guidelines on Counter
Disaster Strategies for Records and Recordkeeping Systems, 2002, Appendix 6)

There are a number of stabilising and drying methods that can be used in the
recovery phase of disaster management. It is important to remember that
different types of materials need different techniques, and that different types of
damage may require different recovery options. Below are general tips on
stabilising and drying water damaged paper-based materials. However, advice
should be sought from a trained conservator before proceeding. Whichever
method is chosen, dried materials should be monitored for potential mould
growth.

Freezing
For stabilising and restoring large quantities of records, or records that are
already starting to grow mould, freezing is the most effective method. If there are
only small quantities of records then other methods, such as air drying, should
be employed.

Freezing is a useful alternative for some records as:

• it stops the growth of mould and mildew (while the object is still frozen)

• it may stop bindings from warping, depending on the method of drying

• it stabilises water soluble materials such as inks and dyes, and

• it gives your organisation time to plan for recovery and restore buildings and
equipment ready for the material.

However, conservators do not advise the freezing of vellum, photographs, glass-

plate negatives, and electronic media such as diskettes, videos, cassettes or
vinyl records.

As soon as the record quantities requiring freezing are decided, companies with
appropriate freeze facilities (listed in the counter disaster plan) should be
contacted and arrangements made for transport. You can:

39
• Blast freeze - commercial blast freezers are ideal as they drop the temperature
quickly and have a large capacity.

• Freeze in refrigerated chamber - this could be slow but there are benefits to
reducing temperature even before freezing point is reached.

• Use a home freezer unit to freeze small quantities quickly - ensure that it
reaches a temperature of –10C and do not open until ready to remove the
material (otherwise it will cause a freeze-thaw cycle).

Once the material is frozen and you have the time and resources to defrost and
treat it, you need to look at drying options.

Freeze drying
The frozen items are placed in a vacuum chamber, which allows the water to
evaporate without melting. This is of a huge advantage for water sensitive inks
as it minimises the risk of them running further. Likewise it is also good for
glossy papers as it prevents them from sticking together. But if these situations
have begun freeze-drying will not reverse it.

Vacuum freeze-drying is not recommended for photographic materials unless

there is no alternative, as their surfaces may be damaged. Leather and vellum
may not survive. Volumes that are vacuum freeze dried should be acclimatised
for at least one month before opening to avoid cracking the bindings, and
monitored for mould.

It is important to have an agreement with a freeze-drying facility before a

disaster so that costs, packing requirements and what items are suitable for the
procedure are understood.

Dry air purging or dehumidifying

Dry air purging can be used if records are not soaking. A building or site is
sealed in plastic sheeting and dry air, at least 26ºC and 15% relative humidity, is
pumped in using desiccant or refrigeration equipment. The water vapour is then
absorbed in the dry air. This method is rapid and has the advantage of being in
situ, but is only useful when the whole site can be sealed off.

Air-drying
Air-drying can be attempted if it is within two days of the disaster and if material
is not soaked. Otherwise, mould will start to grow, and items that are suitable
should be frozen. Air-drying may result in some distortion of items and should
not be used for items with soluble inks.

40
Air-drying requires a large space with good air circulation and temperatures
below 21ºC. Circulation may be encouraged by positioning fans and opening
windows. If available, dehumidifiers can be used in the drying process to reduce
relative humidity (ideally to 25-35%). Screening material such as window
screens can provide an excellent compact drying surface that allows for air
circulation (although metal mesh will rust in contact with moisture).

Volumes
Closed volumes can be cleaned before drying, by washing off dirt or mud on
covers and edges using clean running water and a sponge.

Books and volumes that can stand upright can be placed on paper towelling with
their covers slightly open and their pages lightly fanned. A gentle breeze from a
fan can assist the drying process. Do not use heat, as it will encourage mould.

Priority volumes can be dried by placing plastic sheeting on the floor, standing
volumes upright with pages fanned (if their spines will support them), and then
forming wind tunnels around them from cardboard or plastic sheeting. Cool air
from fans can then be directed down the tunnels.

Interleaving can be used for wet volumes that cannot support their own weight.
Loose sheets of paper towel or blotting paper can be placed at 1-centimetre
intervals though the volumes. Do not allow interleaving materials to exceed a
third of the thickness of the volume or the spine will be damaged (the exception
is with coated papers where each page must be interleaved). Replace
interleaving materials when wet.

If adhesives are sticking to the interleaving sheets, a release material such as

nylon gauze should be used as a barrier between them.

Pamphlets
Pamphlets and loose pages can be hung on lines or improvised drying racks
providing you have enough space and assistance.

Files
Files should be removed from boxes carefully and laid flat. Bundles can be
interleaved and pressed under a light weight or pages turned regularly ensuring
that the original order is maintained for each bundle. Cool air can be directed to
the pages, but ensure that it is directed upward rather than directly on the pages.
Replace the interleaved sheets when they become wet. Glossy papers should
be fully separated and interleaved or frozen.

For saturated files, metal binders should be replaced with plastic tubing or plastic
coated wire and pages fanned with some interleaving.

41
Maps and plans
Maps and plans can be interleaved with blotting paper stacked up to 10 high and
pressed dry under glass, Perspex or thick board and weighted evenly.

Card indexes
Card indexes should be removed from drawers, stack on sides loosely and
supported at each end.

Vellum and parchment

Vellum and parchment items are very fragile and susceptible to damage when
wet. They should be fully supported at all times when being moved. Consult a
Conservator before proceeding with any treatments. If nobody can be contacted
interleave and freeze.

Photographic prints
If treated rapidly, photographic prints may be air-dried. Photographs can be
frozen if necessary but do not freeze dry as it may result in disfiguring marks on
the surface of the photograph. To air dry:

• remove photographs from mounts or separate from each other to prevent the
emulsion sticking

•rinse with cool water if necessary. Do not touch or blot surfaces, and

•place emulsion side up on blotters or lint free cloths or hang by placing clips on
non-image areas, ensuring there is no overlap.

If wet, immerse in clean cold water in polyethylene bags. Send to a processing

laboratory within 2-3 days for reprocessing and drying (except historic ones).

Photographic negatives
To air dry:

• remove negatives from envelopes

• wash in clean running water, and

• hang to dry or lay flat with emulsion side up.

Eastman colour film should only be handled by a processing lab. If there are
large quantities of negatives they should be frozen and air-dried.

If wet, negatives should be sealed in polyethylene bags and placed in plastic

garbage cans under cold, clean running water while the negatives are still wet.
They should be transferred to a laboratory within three days.

42
Glass plate negatives
Glass plate negatives should NOT be immersed in water. They should never be
frozen or freeze-dried. Air-dry them immediately by laying flat onto blotter with
the emulsion side up (duller side) or upright in a dish rack.

Fire
While water damaged materials do cause problems, simple techniques such as
those described above can be used. The recovery of burnt collections presents
additional problems. The effects of fire include heat, soot, burnt edges, melted
coverings such as plastics, and possible water damage. The costs of restoration
should be weighed against other alternatives. Burnt materials can be frozen, but
any restoration other than basic cleaning; rebinding and re-housing should be
left to an experienced conservator.

Template 7.7 – How to recover records

(Used with permission from State Records, NSW, publication Guidelines on
Counter Disaster Strategies for Records and Recordkeeping Systems, 2002,
Appendix 7)

Records should be recovered in accordance with vital records schedules and

priorities set for each functional area. These should be included in the counter
disaster plan.

The following instructions are just a guide. For more detailed information on
recovery please consult the bibliography. The State Library of New South Wales’
Counter Disaster Manual has a comprehensive recovery section detailing
treatment for a variety of formats.

Paper-based records
See the section on Recovery in the Records Management Disaster Planning
Guideline for information on how to proceed with the recovery of paper-based
records. See Template 7.5 for methods of packing paper-based records for
transport or freezing. See Template 7.6 for a description of the best methods of
drying paper-based records.

If dealing with non-paper media, teams need to obtain assistance from

professionals. Some general principles are explained below.

Magnetic media
If magnetic media (disks, audio, video) is damaged, teams should never try to
make copies of it immediately because it might damage the hardware. If
exposed to heat, an expert can advise of the chances of preserving the
information.

43
Floppy disks and diskettes
If floppy disks are wet, they should be placed upright in cold distilled water until
recovery is possible. Do not dry or attempt to freeze them. If full backup copies
exist, then damaged media can be destroyed and replaced. If they need to be
salvaged:

• Remove from water immediately

• Remove from jacket

• Rinse off dirt with clean distilled water. Do not soak

• Drip dries vertically in a disk drain or rack.

• Clean with a soft lintless cloth. Move perpendicular to grooves, not in a circular
motion. Do not use hairdryers.

• Place cleaned compact disk in clean jackets.

• Replace if mould or condensation is present or if there are deep scratches.

Check playability and readability.

Magnetic tapes
 DO NOT freeze, because the moisture in the tapes will cause permanent
damage when frozen. Do not use magnetised tools/scissors.

 DO NOT use hot or warm air to dry, as it will cause the tape to adhere.

Treatment of magnetic tapes will depend on the extent of water penetration. The
casing usually keeps tapes clean and dry. If full backup copies exist, then
damaged media can be destroyed and replaced.

Wet tape
• Disassemble the case and remove the tape.

• Rinse dirty tapes, still wound on reels in lukewarm water.

• Support vertically on blotting paper to air dry.

• Reassemble and copy.

Optical media
Compact disks

(If full backup copies exist, then damaged media can be destroyed and
replaced.)

• Remove from water immediately

44
• Remove from jacket

• Rinse off dirt with clean distilled water. Do not soak

• Drip dry vertically in a disk drain or rack.

• Clean with a soft lintless cloth. Move perpendicular to grooves, not in a circular
motion. Do not use hairdryers.

• Place cleaned compact disk in clean jackets.

• Replace if mould or condensation is present or if there are deep scratches.

Check playability and readability.

Microforms
(If backup copies exist, damaged media can be destroyed and replaced.)

Silver halide microfilm should be kept underwater and not allowed to dry out. It
should be sent to a processing laboratory within 72 hours. Vesicular and diazo
film should be separated and air-dried:
• Extract water affected records and dry separately.
• Peg aperture cards up for drying.
• Unroll microfilms and air dry with the emulsion side up or send to film
laboratory.
• Rewind film and store in dry containers.

If microforms cannot be dried immediately, they should be immersed in clean,

cold water for no more than 2 to 3 days and taken to a laboratory. Duplication is
recommended where possible.

Electronic Records
All Electronic Document and Records Management Systems (EDRMS) and
other business critical application systems should have had their records
backed-up to an off-line medium at a minimum of every 24 hours. The Backup
Media of data should have been stored “off-site” in a secure location. It should
now be possible to reconstitute the Records Management System and the other
business critical application systems from this backup media. However,
depending on the damage to the primary computing facilities, this may be
necessary at an alternative computing facility.

The risks associated with electronic records will have been highlighted when
using the Critical Needs Questionnaire Checklist – Template 3.4. A separate
section of the Disaster Response Plan should be available addressing all
aspects of recovery of electronic records.

45
 Retention and disposal schedules

A Records Retention and Disposal Schedule is a control document that sets out
the periods for which an organisation’s business records should be retained to
meet its operational needs and to comply with legal and other requirements. It
forms a key element of the University's records management policy. It consists of
timetables that set out when individual or groups of records are due for review,
transfer to an archive and/or destruction.
In response to compliance with current legislation eg the Freedom of Information
Act 2000, they make it easier to establish whether or not a record exists when a
request is received. Using such schedules will also give the public confidence
that the University has adequate procedures for identifying records that have
been requested.

Benefits

A Records Retention & Disposal Schedule is an essential component of an

efficient and effective records management system. Properly developed and
consistently implemented, a Records Retention & Disposal Schedule protects the
interests of the organisation and its stakeholders by ensuring that business
records are kept for as long as they are needed to meet operational needs and to
comply with legal requirements, and are then disposed of securely.

The Records Retention & Disposal Schedule provides generic guidance on

retention of records which are commonly generated in the course of:

• core work
• developing relationships with stakeholders
• the management of the institutions themselves as corporate bodies

It covers key groups of records generated by the common business functions

and business activities. In the case of the University these will include Student
Records, Financial Records, Personnel Records, Health & Safety Records, etc.

The Schedule being used for Records Management at the University is based on
research and consultation with a wide range of institutions. However, it is not
intended to be either totally prescriptive or exhaustive. A certain amount of
individual judgement will still have to be made in dealing with some records.

46
Types and examples

Appendix F – General guidance for retention

periods

Administration
Category Retention period Notes
Goods in/out Current plus 6 Limitation Act
record book years 1980
Stock adjustment Current year plus 2 Audit
sheets years
Inventories Until superseded Commercial
and new inventory practice
has been audited
Asset registers Current year plus 6 Commercial
years practice
Contractor time One year after Commercial
sheets transfer to practice/Limitation
accounting Act 1980
systems unless
required for
VAT/tax purposes
Copy purchase 3 years after Commercial
orders original sent for practice
payment
Copy 3 yrs after date of Commercial
correspondence correspondenc practice

See pdf’s

Classification and indexing

Why they are important

The classification scheme within the records management system serves three
main goals:

• helping staff to determine where to file records

47
 • assisting them to find (retrieve) records

• meeting statutory requirements

At present, the strongest emphasis within most projects is on the last of these
goals.

Particularly within the public sector, the adoption of records management

systems is being driven by the demands of the Archives Act. This typically leads
to the adoption of a ‘functional classification scheme’ (such as Keyword AAA or a
variation of it).
These schemes work from general concepts down to the most specific, and are
primarily designed to assist in meeting the legislated requirements relating to
archiving and disposal.

Principles of successful records management systems

Of course, this message will only succeed if it is actually true:

 the records management system must be quick and easy to use (the first
critical success factor)
 the classification scheme must be designed so that staff can actually find
documents again at a later date (the second critical success factor)

Types of systems

The classification scheme should be designed to ensure general business users

store records in the correct location, and to help them find records again at a
later date.
Users must not be overwhelmed by the complexity of most records management
systems. In fact, it is fair to say that the very poor usability of these systems is
one of the single greatest barriers to project success.
Beyond this, it can be argued that unless the usability issues can be addressed,
enterprise-wide records management projects will never be successful.

48
What is needed is a simple interface that is at least as easy as other
mechanisms staff use for filing records (formally or informally).
There are a number of common principles to all systems that should be adhered
to:

• centralising the creation of new files

• limiting the areas of the software that most users have to interact with

• providing training, ‘cheat sheets’ and other support tools

There are many different competing platforms users can make use of when
saving records:

• e-mail inbox (or other e-mail folders)

• Outlook public folders

• local drive ~ may cause problems because local drives are not backed up
• network data drive

• intranet

• collaboration tools and team workspaces

• Lotus notes
• paper (personal/company files, notes pinned to walls, etc)

The best method is to implement a classification scheme that is designed for the
greatest audience: general staff throughout the organisation. Taking this path not
only reduces the need for training, but also directly addresses one of the greatest
causes of frustration with current records management projects.

Successful approaches
There have already been a number of organisations that have moved away from
the functional classification scheme for some (or all) of their staff.

Instead, records are classified in line with the core business processes in the
organisation. For example:

49
 • legal firms file documents according to client and matter

• councils file according to customer or area of land

• project managers file according to project

• customer service staff file according to client (for example, in CRM

systems)
While these examples do not provide a complete solution, they do demonstrate
the value of exploring other approaches to the classification scheme.
Implement two schemes?
While we have focused on techniques and approaches for implementing a
scheme designed for general users, the statutory requirements must still be met.
While it is beyond the scope of this article to propose a total solution to these two
potentially conflicting needs, one approach is to implement two classification
schemes.
The first scheme is staff-facing, structured along business lines. The second
scheme is a functional classification scheme (such as Keyword AAA, expanded
to include core business functions).
A mapping is then maintained between the two schemes. General business staff
only ever sees the first scheme, while records managers use the second scheme
to manage retention and disposal.
A number of document management systems in the marketplace have already
implemented this approach, demonstrating its feasibility.
Of course, considerable work is required to maintain these mappings, but at least
this is restricted to the staff best able to manage it (recordkeeping professionals).

Records Management case study

Rolling out a records management system

Written by James Robertson, published October 5th, 2004

Categorised under: articles, document & records management

50
Historically, records management was the responsibility of a small
number of specialist staff members within an organisation.

With the shift towards electronic records (including documents and e-

mails), efforts have instead turned to rolling out an electronic records
management system (RMS) across the entire organisation.

The challenge then becomes ensuring that staff throughout the

organisation adopt the use of the system, and take on the added
responsibilities involved.

Up to this point, many organisations have attempted this ‘enterprise’

implementation of records management, but few (if any) have
succeeded.

This article explores, from a new perspective, the challenges involved in

rolling out a records management system, identifying three critical
success factors for widespread adoption.

The challenge

For a long period of time, records management was a fully centralised

activity, with a small team of specialist records managers handling the
needs of the entire organisation.

The discipline of records management grew up around this model,

leading to the creation of applications and classification schemes
designed for specialist users.

The growth of electronic records has, however, had a dramatic impact on

this approach to records management.

No longer practical to managed via a fully-centralised model, records

management has instead been decentralised throughout the entire
organisation. This has led to rollout of records management systems to
be used by general business staff, and not just specialist records
managers.

The fundamental challenge of rolling out a records management system

is that for it to be successful, it requires the active involvement of all
staff.

If staff choose not to file documents in the system, or don’t use it to

search for existing documents, the system (and the project as a whole)
has failed.

This introduces a tremendous change management challenge, one that

involves a widespread transformation of business processes and
practices.

It is this challenge that is explored in this article: how to get staff to use
the records management system.

51
What this article doesn’t cover

We have worked extensively in organisations to improve the

effectiveness and usage of corporate intranets, particularly in the public
sector.

As part of the intranet reviews conducted, issues relating to records

management have inevitably arisen. This article draws together the
observations gained as part of these projects.

This article is therefore written from the perspective of ensuring the

adoption of a software solution (and associated business processes and
practices), rather than specifically on the practice of records
management.

We don’t claim to present any records management wisdom. This is not

an article that covers retention, disposal, or other specialist issues. For
guidance in these areas, seek the advice of a recordkeeping
professional.

Instead, this article explores how to ensure that staff will actually use a
records management system.

Three critical success factors

From observations of many different records management system

rollouts through organisations (most of which haven’t been successful),
we have identified three areas that must be addressed:

Software

The design and usability of the records management software, with a

particular focus on ease of use for general business users.

Classification scheme

Ensuring the classification scheme is designed to ensure general

business users store records in the correct location, and to help them
find records again at a later date.

Message

The ‘message’ that drives the internal communications and change

management efforts, beyond simply ‘you must use the software’.

Each of these critical success factors is explored in the following sections.

All three critical success factors must be addressed

One: Software

52
Records management systems were designed to be used, and used very
efficiently, by experts.

With a centralised user base of specialist records managers, these

systems were developed to provide powerful tools to speed the day-in,
day-out work of these staff.

As a result, most records management systems are hugely complex. In

most systems, simply filing a document presents the user with a huge
dialog box with dozens of drop-down lists, buttons and options.

While the design of these systems has served the records community
well for some time, they are now out of step with the needs of the new
users of records management systems: general staff throughout
organisations.

For these staff, using records management systems, as they are

currently designed, can be a terrifying prospect.

The need for simplicity

Users are overwhelmed by the complexity of most records management

systems. In fact, it is fair to say that the very poor usability of these
systems is one of the single greatest barriers to project success.

Beyond this, it can be argued that unless the usability issues can be
addressed, enterprise-wide records management projects will never be
successful.

What is needed is a simple interface that is at least as easy as other

mechanisms staff use for filing records (formally or informally).

A number of approaches have already been taken in records

management projects:

centralising the creation of new files

limiting the areas of the software that most users have to interact with

providing training, ‘cheat sheets’ and other support tools

While these have been valuable, none have tackled the fundamental
design problems of most records management systems.

Instead, organisations should plan to usability test any records

management system being implemented, with the expectation of having
to address a range of issues and problems.

While in the short-term, this will end up being the responsibility of

organisations implementing records solutions, pressure will inevitably be
applied on the vendors themselves to improve product usability.

53
There are many competing platforms for storing information

Competing platforms

There are many different competing platforms that users can make use
of when saving records:

e-mail inbox (or other e-mail folders)

Outlook public folders

local drive

network drive

intranet

collaboration tools and team workspaces

Lotus notes

paper (personal files, notes pinned to walls, etc)

Some organisations have attempted to eliminate these other

mechanisms for storing information, with the aim of forcing staff to use
the records management system.

For example, access to local drives or network drives is restricted,

thereby removing one of the most common locations for saving
documents.

While this may have some positive impact on staff usage, the frustration
generated will invariably increase the resistance to change within the
organisation.

Unless there is a strong culture of record keeping (such as in a legal

firm), staff will find new (and creative) ways of ‘passively resisting’ the
rollout of the system.

In many cases, they will continue to use their existing filing methods
(however ad-hoc), or find new (and simpler) alternatives to the records
management system.

Fundamentally, staff will (and should) use the solution that is easiest and
most effective for them. The challenge therefore becomes to ensure that
the records management system is very easy to use, on par with other
options available to staff.

Consider making the records system invisible

Invisible operation

54
While ensuring the usability of records management systems is vital,
some have argued that a necessary step is to make the systems entirely
invisible.

In this model, records management systems are seamlessly integrated

with core business systems, whether e-mail, customer management
systems or front-line applications.

When records are filed from these systems, the context of the users
current activities are used to pre-fill most (or all) of the details required
by the records management system.

In this way, the system becomes little more than a menu item and a
simple dialog box. There are already systems in the market (particularly
in the field of document management) that are exploring this concept.

Whatever the approach, effort must be taken to reduce the barriers that
are currently making it too difficult for staff to file records, even when
they are self-motivated to do so.

Two: Classification scheme

The classification scheme within the records management system serves

three main goals:

helping staff to determine where to file records

assisting them to find (retrieve) records

meeting statutory requirements

At present, the strongest emphasis within most projects is on the last of

these goals.

Particularly within the public sector, the adoption of records

management systems is being driven by the demands of the Archives
Act. This typically leads to the adoption of a ‘functional classification
scheme’ (such as Keyword AAA or a variation of it).

These schemes work from general concepts down to the most specific,
and are primarily designed to assist in meeting the legislated
requirements relating to archiving and disposal.

Staff must understand how to file and retrieve records

Finding and storing records

While meeting statutory requirements is important, widespread usage of

the records management system primarily rests upon meeting the first
two goals (filing and retrieving records).

55
In this era of enterprise-wide rollouts of records management systems,
the users of the classification scheme have changed dramatically.

While historically the classification was only really used by the

centralised records management staff, it will now be used by staff
throughout the organisation.

In order to meet these needs, the classification scheme must be

understandable by general business staff.

It is clear that:

If staff are unable to easily determine where to file records, the records
management system will become littered with mis-filed documents.

If staff cannot easily find documents at a later date, then they will simply
abandon use of the records management system entirely.

For these reasons, the effective design of the classification scheme

becomes an imperative.

Caloundra City Council case study

An earlier article presented the findings of a usability review of the

classification scheme proposed for Caloundra City Council.

In this project, the Council planned to implement the Keywords for

Councils classification scheme (a derivative of Keyword AAA), but had
identified that the success of the project as a whole would rest on the
appropriateness of this scheme.

A small-scale usability test was therefore conducted of the classification

scheme. This identified a number of important issues:

success rates in using the classification scheme were highly variable,

across both users and tasks

staff had considerable difficulty understanding the top level of the

classification scheme (functions)

most staff think at the most specific level

experience with the records management system or classification

scheme did not improve levels of success

(For the full details on the case study, see the article Evaluating
Caloundra City Council’s EDMS classification.)

Design the classification scheme for the majority of users

Design for the greatest audience

56
In light of these findings, it is apparent that the classification schemes
typically used may not be appropriate for general staff within an
organisation.

While training and support may assist to some degree, they will not
eliminate the problems generated by an inappropriate classification
scheme. Reliance on such approaches will also burden organisations with
a never-ending requirement to continue this training and support.

The alternative is to implement a classification scheme that is designed

for the greatest audience: general staff throughout the organisation.
Taking this path not only reduces the need for training, but also directly
addresses one of the greatest causes of frustration with current records
management projects.

Successful approaches

There have already been a number of organisations that have moved

away from the functional classification scheme for some (or all) of their
staff.

Instead, records are classified in line with the core business processes in
the organisation. For example:

legal firms file documents according to client and matter

councils file according to customer or area of land

project managers file according to project

customer service staff file according to client (for example, in CRM

systems)

While these examples do not provide a complete solution, they do

demonstrate the value of exploring other approaches to the classification
scheme.

Use practical usability testing and IA techniques

Practical testing techniques

Thankfully it is not necessary to rely on a philosophical approach to

determine the most effective classification scheme.

Instead, organisations can use a range of practical testing techniques to

assess (or design) a classification scheme. Taking this approach will
ensure that the end result will be useful for staff throughout the
organisation.

The Caloundra City Council case study presents one simple and cost-
effective approach to usability testing a records classification scheme.
This was completed in only two days, and gave sufficient information to

57
suggest an overall approach (more research would have been required
to rework the classification scheme).

Card-based classification evaluation provides another mechanism to

directly assess how well staff can understand and use a classification
scheme (whether for a records system, or for an intranet).

For more information on this technique, see:

www.boxesandarrows.com/archives/cardbased_classification_evaluation.
php

Beyond these two techniques are a range of approaches that can be

drawn from the fields of usability and information architecture.

Implement two schemes?

While we have focused on techniques and approaches for implementing

a scheme designed for general users, the statutory requirements must
still be met.

While it is beyond the scope of this article to propose a total solution to

these two potentially conflicting needs, one approach is to implement
two classification schemes.

The first scheme is staff-facing, structured along business lines. The

second scheme is a functional classification scheme (such as Keyword
AAA, expanded to include core business functions).

A mapping is then maintained between the two schemes. General

business staff only ever see the first scheme, while records managers
use the second scheme to manage retention and disposal.

A number of document management systems in the marketplace have

already implemented this approach, demonstrating its feasibility.

Of course, considerable work is required to maintain these mappings, but

at least this is restricted to the staff best able to manage it
(recordkeeping professionals).

Identify a message that will drive adoption of the solution

Three: Message

Too many records management implementations are driven by a single

message to staff: “you must use it!”. This is generally supported by
highlighting the importance of records management, and the
organisation’s legislative responsibilities.

The problem is that most staff are fundamentally disinterested in the

concept of records management, and there is no easy way of generating
the required enthusiasm.

58
While records management is extremely important for the organisation
as a whole, and for those responsible for information management,
simply highlighting this to staff will have little effect.

In most organisations, the net result of this approach is to generate small

pockets of effective record-keeping (where staff can see for themselves
the relevance and value of records management), while the rest of staff
essentially ignore the rollout.

Can’t be enforced

The biggest challenge for records management staff in rolling out a new
system is that staff can’t be forced to use it.

While the establishment of suitable policies and guidelines is certainly

required, these alone will have little impact on uptake throughout the
organisation.

Furthermore, few (if any) staff directly report to the records team. Even
when the message is driven down from senior management, staff have
many ways of ‘passively resisting’ the rollout.

While a ‘carrot and stick’ approach is often recommended for these

types of projects, in practice, the ’stick’ is generally not practical or
possible.

Instead, the records management project must encourage uptake

amongst staff, by identifying one or more messages that will engage
staff.

Look for the ‘what’s in it for me’ factor

‘What’s in it for me’ factor

What is generally missing from change management and internal

communications activities conducted for records management projects it
the ‘what’s in it for me’ factor.

While the benefits to the organisation as a whole are clearly articulated,

the more immediate benefits for individual staff are not highlighted.

For records management projects to be successful, these individual

benefits must be determined and then clearly communicated.

Aligning with business activities

One approach for determining the ‘what’s in it for me’ factor is to

strongly align the records management system with core business
activities.

For example, project teams have a clear need for an effective way of
storing, tracking and communicating project documents. By promoting

59
the solution as a ‘project management solution’ (instead of a records
management solution), interest and usage can be generated.

Those involved in customer service or client relations have a similarly

clear need, as do staff in legal or contracts sections.

In all of these cases, the needs of the individual teams are determined,
and the records management system is designed and promoted
accordingly.

This model of records management rollout is an incremental one, with

uptake being ensured on a team-by-team basis. While it is much slower
than a single enterprise-wide rollout, it is much more likely to generate
sustained usage.

Align the records solution to key business processes and needs

A more general message

While the approach outlined above can be very effective, it is best suited
to those sections of the business that have clearly defined processes and
needs. For the rest of the organisation, a more general message will be
needed.

This message can be determined from the observation that most staff
are clearly aware of the inadequacies of their current ‘personal
information management’ practices.

Staff are flooded with information every day that they have a desire to
keep, and they struggle with a variety of methods, none very effective:

retaining messages in the e-mail system, until forced to delete them by

IT

storing documents on a shared drive, where the lack of consistent

structure rapidly makes it hard to find documents, and generates many
duplicates

printing documents, and stacking them up in piles or pinning them to

partition walls

Staff struggle with these approaches because no better solution has

been provided to them.

If a better solution, in the form of the records management solution is

made available, this will naturally lead to adoption.

The message then becomes:

“Storing your documents in the records management system is the

single easiest way of ensuring you can quickly find them again when you
need them in six months or a years time.”

60
This is the ‘what’s in it for me’ factor: a simpler way of meeting personal
needs for storing and retrieving information.

Of course, this message will only succeed if it is actually true:

the records management system must be quick and easy to use (the
first critical success factor)

the classification scheme must be designed so that staff can actually find
documents again at a
later date (the second critical success factor)

If the records management system is genuinely designed to meet the

needs of staff, then communicating this fact will inevitably lead to
sustained use.

Internal promotion will only succeed if the system works well

More issues

While this article has focused on three specific issues relating to records
management adoption (system, classification scheme and message),
these are obviously not the only aspects that need to be addressed
during the project.

Other issues to consider include:

implementation of hardware and other necessary infrastructure

deployment of the software

migration of records

records management policies and guidelines

management of both paper and electronic records

appropriate security measures

ongoing resource levels

integration with other systems (including customer management

systems and the intranet)

plus much more…

While this article has not covered any of these issues, the focus on the
three specific areas is deliberate, as they will have the greatest impact
upon project success.

While all aspects of the project must be explored, failure to address the
three critical factors will almost certainly lead to project failure.

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 Documents, not just records

As a final note, it is worth highlighting that while this article has focused
on records management systems, it is equally applicable to document
management systems.

In many cases, the two systems are now considered aspects of the one
solution, referred to as an electronic documents and records
management system (EDRMS).

Even when being deployed separately, documents management

systems face the same challenges as their records management
counterparts, and focusing on the same three aspects will have the
greatest impact upon project success.

Conclusion

Projects planning to roll out records management systems across an

entire organisation face considerable challenges, not least of which is
that they require the active participation of all staff to be successful.

To achieve this level of cultural change, three critical success factors

have been identified:

Ensuring that records management systems are sufficiently usable for

general staff throughout the organisation.

Implementing classification schemes that are matched to the needs and

working practices of all staff.

Identifying a clear message that will resonate with users and drive real
adoption of the records management system.

While there are many other aspects to be managed within a records

management project, these three factors will have the greatest impact
upon the

Appendix – Definitions & Resources

Resources

ACCA - http://www.accaglobal.com/

ICAEW- http://icaew.com

AIA - www.aiaworldwide.com/

Accounting web - http://www.accountingweb.co.uk/

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 Improvement and development Agency for local government - www.idea.gov.uk

Records management society -http://www.rms-gb.org.uk/resources

Definitions

Glossary of records management terms

Appraisal
This term means the process of evaluating an organisation’s activities to
determine which records should be kept, and for how long to meet the needs of
the organisation, the requirements of accountability and the expectations of
researchers and other users of the records.

Archives
Archives are records that are recognized as having long-term (including historical
and cultural) value.

Current Records
Those records which are being regularly used for the conduct of business (see
also ‘records lifecycle’).

Data Protection Act 1998

Provides legal rights to individuals with regard to the personal information held
about them by others (see:
http://www.hmso.gov.uk/acts/acts1998/19980029.htm).

Disposal
This term means the implementation of appraisal and review decisions. These
comprise the destruction of records and transfer of selected records to the
Archive. They may also include the movement of records from one system to
another (e.g. paper to electronic) or the transfer of custody of the records.

Document
The smallest unit of filing, generally a single letter, form, report or other item
housed in a filing system

Electronic Document Management System (EDMS)

A proprietary electronic system that scans stores and retrieves documents
received or created by the University. The ‘Serengeti’ software currently used by
the Finance Department for managing invoices is an example of such a system.

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Electronic Records
Records where the information is recorded in a form that is suitable for retrieval,
processing and communication by a digital computer.

File
A group of related documents contained within a file cover and fastened together.
A virtual file can be created for electronic documents.

Finding Aids
Indexes or other lists, manual or automated, that are designed to make it easier
to locate relevant files or retrieve information.

Freedom of Information (Scotland) Act 2002

Provides a general statutory right of access to information of any age and in any
format held by Scottish public authorities, subject to a number of limited
exemptions (see:
http://www.hmso.gov.uk/legislation/scotland/acts2002/20020013.htm). The Act
becomes law on 1st January 2005.

Hardcopy
Hardcopy is all the information that is not held in an electronic format, and can be
read without additional equipment. This includes files, maps and plans, and
bound volumes.

ISO
International Organization for Standardization

Medium
The format on which a record is held, i.e. paper, microfiche, microfilm, electronic,
optical disc, magnetic tape etc.

Metadata
Information about an organisations records, including information about their
nature, extent and location, the context of their creation or receipt, the means of
access to them and decisions relating to their future management.

Non-current Records
Those records which have little or no business value, though they may be used
for other purposes, such as historical research (see also ‘records lifecycle’).

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Record Series
A record series is a collection of records having a common subject or theme or
function e.g. annual accounts, invoices, committee minutes, Head of
Department’s correspondence files etc. A series is distinguished by the fact that it
provides evidence of a particular process and as such may vary in size from a
single document (e.g. College Strategic Plan) to many thousands in the case of
invoices.

Records
Those documents required to facilitate the business carried out by the University
and retained for a set period to provide evidence of its transactions or activities.
Records may be created, received or maintained in hard copy, optical or
electronic format.

Records Lifecycle
A concept for describing the various stages through which information passes in
recorded form. Records are current from their creation and for as long as their
administrative value remains at its highest. They become semi-current when their
administrative value declines and reference to them becomes irregular and less
frequent. When a record has ceased to have any administrative value at all it is
non-current.

Records Management
Records management are the people responsible for the efficient and systematic
control of the creation, maintenance, use and disposition of records.

Records Survey
A records survey is the systematic exercise to locate and identify all the records
held by a particular business area.

Registration
The process of records creation and its recording in an appropriate finding aid,
such as a register, index, computer database etc.

Retention Schedule
A retention schedule is an index to different types of records, detailing how long
they should be kept for in order to meet operational and legal requirements. For
example, to meet VAT and taxation regulations, there is an obligation to keep
most financial records for the current year +6, making the effective period of
retention 7 years.

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Semi-current Records
Semi-current records are those records whose business value has declined, but
which may still be referred to on an irregular basis (see also ‘records lifecycle’).

Tracking
Capturing and maintaining information about the movement, use and transaction
of records.

Version Control
A procedure which seeks to identify and manage records which are subject to
intensive redrafting, thereby enabling differences in authorship and content to be
logged and controlled.

Vital Records
Those records crucial to the conduct of the University’s business and without
which the University would be unable to function should they be destroyed by
fire, flood or any other catastrophe. Identification of vital records would form an
integral part of any business continuity planning.

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