State Records Center
Fee
Many agencies have asked if the State Records Center (SRC) will start charging for storing agency records. The Pennsylvania Historical and Museum Commission (PHMC) proposed that agencies pay for SRC use starting with FY 2009–2010 to remedy current budget and staffing shortages. This fee was not approved; however, PHMC will continue to request permission to charge for SRC services. PHMC will notify agencies if a fee for storage is approved.
Are We Full Yet?
No. Agencies have responded to SRC needs by determining realistic retention periods which cut or eliminated SRC storage retention, and by responding to disposal reports quickly and approving almost all disposals. We have lost two staff members, but have been able to keep up with box destruction with the assistance of temporary help. We expect to take agency records throughout FY 2009–2010.
Moving Services
The Department of General Services (DGS) stopped providing moving services for agencies in June. Agencies have been scrambling to find alternative means to get records to SRC. Agencies have found alternative methods to ship records to the Center by using other program staff and vehicles or renting U-Hauls. DGS Procurement is considering an enterprise-wide contract for trucking services. The Warehouse and Distribution Division of DGS is conducting a pilot project for their MOU customers, a fee based Records Transfer Service limited moving services to provide their existing customer agencies with shipment services to SRC. If any agency Records Coordinators (RCs) have questions or concerns about shipping records to SRC, please contact RA-staterecordsmgmt@state.pa.us or in CWOPA under “PH, State Records Mgmt.”
Resource Account for SRC Requests
Please remember to use the Resource Account for requesting agency records. The Resource Account will enable multiple staff at SRC to view your requests, ensuring receipt and prompt processing of requests. E-mail all Reference Request forms (STD-61) to the following address: RA-StateRecordsCenter@state.pa.us, or in CWOPA under “PH, SRC Requests.”
Authorized Personnel
The next upgrade to the Enterprise Records Management System (ERMS) (aka “OmniRIM”) will include significant changes in the way that Security Access is created and maintained. In preparation for this conversion and implementation, SRC has asked that agencies reduce the number of overall system users from the Authorized Personnel List. In August, we requested that agency RCs review the Authorized Personnel List and, at minimum, delete any inactive staff from the list. Additionally, if possible, please reduce the number of Authorized Personnel per program area to two persons with the RCs and Alternate RCs as backups as well.
Reports were sent to RCs in August to be updated and returned to SRC no later than September 9, 2009. If you have not yet returned your updates, please do so soon!
Scheduling and Analysis
Web Site
PHMC State Records Management Web pages were transferred to the Commonwealth’s portal this past spring. Almost all the information from the former Web site was transferred, but the format was changed to follow Commonwealth portal standards. There is a “recent updates” page to keep everyone informed about the latest news in the Commonwealth Records Management Program.
Training
Training is offered in the spring and fall for agency RCs and Alternate RCs. Please check the PHMC Web site for the latest offerings, or in E-LMS under “PHMC” and “Records Management.” Agency-specific Records Management Briefings are also available to assist agency RCs in addressing their specific agency needs. These sessions offered by PHMC provide an opportunity for RCs to raise awareness and educate agency staff on records management issues. PHMC has done specialized training for several agencies in the past year, including Labor and Industry, PEMA, Health, and Revenue. If you are interested in agency-specific training, or have questions, please contact RA-staterecordsmgmt@state.pa.us.
Changes in Media and Disposition Codes
PHMC recently changed some of the media and disposition code definitions to better reflect current practices. Agencies were made aware of the changes through Records Management Alert #25. Below is a summary of the changes and expanded definitions. If you have any questions, please contact
RA-staterecordsmgmt@state.pa.us.
Media Codes
1-Paper (paper, printed photos)
A-Microfilm (microfiche, roll film, photo film negatives, slides)
B-Electronic (machine readable that is stored on hard drives, servers, SAN, NAS, etc.; non-portable media)
C-Portable media (audio/visual tapes, movies, film strips, diskettes, CDs, DVDs or any other portable media)
D-Cartographic (oversized printed material including maps, blue prints, plans, etc.)
Disposition Codes
1-Routine Handling (No special precautions will take place upon disposal. The records should be disposed of in accordance with the Commonwealth recycling program).
2-Archival Review (Upon completion of the retention period in the agency and/or the State Records Center, the State Archives will review the records. Following the review, the State Archives will then decide to accept the entire records series, parts of it, or, after agency notification, may allow disposal of the entire records series. Records assigned a Code “2” may not be destroyed without written permission from the State Archives. Records deemed confidential or sensitive by an agency will be retained by the agency and not transferred to the State Archives until such time as the State Archives and the agency head or designee have agreed as to the confidential treatment of such records).
3-Special Handling (For use with records that have agency retention ONLY). This code is used for the destruction of records containing confidential or sensitive information where the Commonwealth’s recycling program is not deemed to be sufficient. These records require special handling by shredding, burning or any other method that reduces information to an illegible condition. This code may also be used, for the disposition of portable media in an agency.
5-Return to Agency (ONLY for use with records that are stored at SRC). Records will be returned to the agency for disposition at the conclusion of the retention period of records stored at the State Records Center. In addition, all portable media stored at SRC must be returned to the agency for disposal. This code may also be used for records that contain confidential or sensitive information where the Commonwealth’s recycling program is not deemed to be sufficient.
6-Delete (For use ONLY with electronic records that are not stored on portable media). When electronic records have met their retention period, they must be deleted.
7-Review by Agency and State Archives. At the conclusion of the retention period of records requiring permanent or long-term retention, review by the agency and the State Archives will be required to justify the continued need for permanent or long-term retention, regardless of format. After the expiration of the initial retention period, retention will be extended in 25-year increments for those records determined to have continuing value to the agency.
Forms
PHMC has been exploring the possibility of changing the four forms now used for records actions (STD-58, STD-56, Request for Exception, and STD-57), and combining them to make only one or two forms. The forms need to be updated and presently do not have questions concerning electronic records. Agencies that would like to “test drive” or review the new forms should contact ra-staterecordsmgmt@state.pa.us.
Update on General Schedules
The General Administrative Schedule has had minor updates since it was first introduced in 2006. Please check the PHMC Web site under general schedules to find the latest version. The General Personnel Schedule and General Accounting Schedule are also being reviewed. These schedules are both out of date and list obsolete forms and have no retention for electronic records, such as records in IES. Committees are working with the Office of Administration, Office of Enterprise Records Management (OA, OERM) to update these general schedules. For more information, contact
OERM at RA-OAERM@state.pa.us.
Records Actions Review
Why do reviews take so long? Due to staff changes, reviews are handled differently. If an action has electronic records, PHMC IT Generalist Administrator reviews the action initially and may contact the agency RC with questions. One of three PHMC archivists reviews the action to make sure the forms are filled out properly, the request(s) makes sense, and appraises the records for historical value. The head of the State Archives appraisal section and the Chiefs of the State Archives and the Records Management programs also review and approve. OA, OERM reviews the action before being signed and approved by the State Archivist, on behalf of the PHMC executive director. All reviewers may be looking at different pieces of the records action, so Coordinators may be getting calls from any of the reviewers. If you have any questions on the review process, please contact us at RA-staterecordsmgmt@state.pa.us.
Keeping Track of General Administrative Schedule Use in Agency Program Areas
Several agencies have contacted PHMC requesting advice on keeping track of records that have been deleted off their agency-specific retention schedule and replaced by the General Administrative Schedule. “Do people really have to look in two different schedules?” Yes, however, some agency RCs have helped program areas by providing a list of all the records within their area. One agency did a short spreadsheet that listed the item number, the title, the retention, the disposition, whether it is a vital record, and who was responsible for the record. They included both agency-specific and general schedule items. Another agency keeps track of General Schedule and Agency-specific schedule items by posting copies of the STD-56 available for program areas on the agency Intranet. The STD-56 lists what items were deleted and what General Schedule item was to replace it. If you would like examples to help track retention, contact ra-staterecordsmgmt@state.pa.us.
Records of Departing Employees
As the Commonwealth’s workforce shrinks, many are leaving records behind, including email, spreadsheets, word processing, and other documents on personal drives. How does the agency manage the records of departing employees? In many agencies, Human Resource (HR) and IT Bureaus work together to make sure that records are properly managed, and that supervisors are given access to review them. Although the employee may be gone, they may have left behind records that have not yet met retention and may be needed for program operations. Below are some helpful instructions to assist RCs, HR, and IT staff with departing employees records.
Paper Records:
The employee, supervisor, and agency RC, or other agency designee, should:
• Maintain, label, and organize files to facilitate continuity of operations; identify and review all active records.
• Appropriately dispose of any nonrecords, transitory records or records scheduled for disposal. Contact the agency Records Coordinator or other agency designee responsible for records management if there are any questions about records retention or scheduling, as well as regarding records that have an “archives” disposition code.
• Review any files the employee wishes to copy or to remove for personal use (see procedures in
MD 210.5: Section 6 (g) 3 and 4).
Electronic Records:
The employee, supervisor, IT staff, and/or the agency RC, or other agency designee, should:
• Activate an appropriate e-mail message on the employee’s e-mail account and voicemail, advising as to the future contact information for the program (and, optionally, for the departing employee).
• Avoid premature disabling or closing of the employee’s e-mail, which might result in destruction of remaining messages.
• Determine the location of the employee’s electronic files, such as on an employee’s local drive, individual network folder, etc.
• Move, as necessary, all the employee’s electronic files to the supervisor’s folder or other agency designated folder; if e-mails exist in .pst files or other formats, they should be copied and moved to another appropriate folder.
• Maintain electronic files necessary for continuity of operations, pursuant to the appropriate records schedule; delete transitory files, personal files, or files that are scheduled for disposition. Contact the agency RC or other agency designee responsible for records management if there are any questions about records retention or scheduling, as well as regarding records that have an “archives” disposition code.
• Review any files the employee wishes to copy or to remove for personal use (see procedures in
MD 210.5: Section 6 (g) 3 and 4).• Review files to maintain security and confidentiality and follow policies regarding reassignment of computer hardware.
News from the State Archives
Direct Transfers to the State Archives
The State Archives reminds agencies to check their retention and disposition schedules to determine if records that have met their retention should be transferred to the State Archives. Unlike records that go to SRC and are thereafter transferred to the State Archives, these records do not leave the agency and must be transferred directly to the State Archives from the program office.
Agency Records Coordinators should check their agency retention schedule for records that can be transferred to the State Archives. Please notify program areas that records are due at the Archives.
A STD-59 Records Transfer List should be filled out and given to the archives. Please call Rich Saylor at (717) 705-5785 to make arrangements for pickup of these records or if you have questions about direct transfers.
State Archives Accessions
The State Archives accessioned 118 records from 25 agencies and local governments from January through June 30, 2009. Some records brought into the State Archives include:
RG-16 Department of Education-- Project Files: Records of the Pennsylvania Governor's School(s), 1971-2006; Records of the Scranton State School for the Deaf, 1883-2009
RG-32 PA Liquor Control-- Board Privatization Study Material, 1970-2003
RG-59 State Employee Retirement System-- Minutes of Board Meetings, 1953-1957
RG-60 PA Public Television Network--Administrative & Subject Files; Press Releases;
Reports & Publications; News Clippings; Newsletters; 1970-2008
State Archives Donation
One of the more interesting donations to the State Archives in the last six months from a private individual or institution was Manuscript Group 511 - William Neel Collection. This collection of 326 items relates to Captain William Neel's service in four different Pennsylvania units during the course of the American Civil War (8th, 105th, 206th PVI Regiments & 2nd Battalion.) The documents include: muster rolls, discharge certificates, monthly returns, quarterly returns, clothing requisitions, invoices for supplies, receipts for supplies, general correspondence, special orders, general orders, etc. There are also military related volumes including: PA Adjutant General's Annual Reports from 1865-1875 (not inclusive). Before being donated to the State Archives, this collection was passed down in family hands from the time of the Civil War. For more information on the State Archives visit www.phmc.state.pa.us
Mark Your Calendar
September is National Preparedness Month. Is your agency prepared if disaster hits your vital (essential) records? http://www.ready.gov/america/npm09/index.html or http://www.readypa.org/
October is Archives Month-Visit your local archives! Archives Month 2009 http://www.archivists.org/archivesmonth/index.asp
October 29–31, 2009 MARAC, (Mid-Atlantic Regional Archives Conference), Jersey City, NJ. For more information visit Mid-Atlantic Regional Archives Conference - Conferences http://www.lib.umd.edu/MARAC/conferences/conferences.html
April is Records and Information Month-Market your agency records program. Records & Information Month http://www.arma.org/rim/rimmonth.cfm
April 20–22, 2010 AIIM Conference and Expo, Philadelphia, PA. For more information on AIIM Expo visit http://www.aiimexpo.com/aiimexpo/v42/index.cvn
April 30–May 2, 2010 MARAC, (Mid-Atlantic Regional Archives Conference), Wilmington, DE. For more information visit Mid-Atlantic Regional Archives Conference - Conferences http://www.lib.umd.edu/MARAC/conferences/conferences.html
August 10–15, 2010, NAGARA (National Association of Government Archives and Records Administrators), SAA (Society of American Archivists) & COSA (Council of State Archivists), Washington, DC. For more information visit www.nagara.org
November 11-13, 2010 MARAC, (Mid-Atlantic Regional Archives Conference), Harrisburg, PA.
e-Records Exchange
Words of Wisdom and Advice for electronic records
A new addition to the Micro*Record, this column will feature various topics that are either specific to electronic records or are related to e-records in some way. Having received many questions from agencies recently regarding digitizing documents and the relevance of microfilm, this edition’s focus is on the continued value of microfilm.
A Brief History of Microfilm
The first patent for microfilm (aka microphotography) was granted in 1859. Although in use from the 1830s, it was Eastman Kodak who put it in the limelight in the 1920s. Microfilm was used by many, including the Library of Congress, and in 1936 it was endorsed by the American Library Association. By the 1960s it was standard policy to produce microfilm as part of the normal business process. Then, as technology advanced, computer output to microfilm (COM) was introduced in the 1980s where microfilm was created directly from the output of computer systems. Microfilm is still the archival and long-term preservation choice today.
The Purpose and Use of Microfilm
Briefly mentioned above, microfilm is all about preservation. Uses of microforms may be different depending on the line of business or point in time; from easy-to-use/easy-to-produce, to reduction-ratio (space saving), to preservation copy. There continue to be many reasons for the use of microfilm.
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Physical documents deteriorate over time; the more they are handled the more rapidly they deteriorate.
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By putting the aforementioned materials to microfilm, access and use can by increased by providing access to the microfilm vs. the physical documents.
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Microfilm reduces storage space.
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Microfilm is an unalterable human-readable format – no special technology is needed to decode.
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Documents printed from microfilm are acceptable in court as a substitute for the original.
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Vital records are often put to microfilm.
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Digital images can easily be produced from microfilm for use with computer systems.
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Microfilm is a proven preservation copy – it has been proven to last over a hundred years and is expected to have a 500 year duration when properly produced and stored.
The Continued Importance of Microfilm
As technology advanced and documents were increasingly scanned into digital formats, questions were asked regarding the relevancy for the continued creation of microfilm.
Let’s first understand that when scanning paper documents there are many issues at stake including format, organization and storage. It is simply not acceptable to purchase a scanner and begin converting physical documents to digital documents without first planning the basics of how and where the digital documents will be accessed and stored, the format and method of capture and quality control, and the naming conventions and organization of the resulting documents. This is just the beginning. There are many more considerations and details required when planning to implement a solution and more specific guidance can be found on OA’s website under Information Technology Bulletin INFRM006 (http://www.portal.state.pa.us/portal/server.pt?open=512&objID=416&PageID=200500&mode=2&contentid=http://pubcontent.state.pa.us/publishedcontent/publish/cop_general_government_operations/oa/oa_portal/omd/p_and_p/itbs/domains/information/itbs/itb_infrm006.html.)
Let’s say that proper planning was done up front and format standards were followed (refer to ANSI/AIIM standards). And the resulting digital documents are quality controlled, organized, and properly stored and backed up, and there are no legal implications for not having the original document. If the retention of the associated documents is of short-term value (less than 10 years), then it is acceptable to scan the documents and destroy the paper. However, if the retention is of long-term (greater than 10 years) or archival value there should be a human-readable copy; either by retaining the paper or producing a microfilm copy. Why? Because systems and media change and become obsolete.
To further explain, since “imaging systems” and “electronic document management” (EDMS) and/or “content management” (ECM) systems have come into existence over the last 2 decades, hardware and software introduced early on is already obsolete. For example, when imaging systems held records that were considered to be vital or a legal document (perhaps a legal-binding document with a signature, and required the document could not be updated) Write Once Read Many (WORM) storage technology was often used. Just as portable media has changed from 5-1/4” floppy disks, to 3-1/2” floppy disks, to CD’s and DVD’s, so too did the WORM platters change. Not only did the actual storage media change, but so did the ‘drives’ or ‘read heads’ and therefore the media was no longer able to be read.
Not only do hardware and media change, so does software. Sometimes software technology upgrades are “backward compatible” for a version or two. This means that when a new version of software is introduced it may be able to read and/or decipher documents created in the previous version. However, over time and multiple versions, it is often the case that older information is no longer able to be read. In addition, software standards change and the previously created documents in the old software may not be able to be converted to the new. For example, many of us first used Word Perfect as the business word processing software, yet now the Commonwealth standard is Microsoft Word. Word cannot read Word Perfect, and vice versa.
Imaging, EDMS, and ECM systems also require "reader" software, typically referred to as the "viewer" software, to render the image "readable" to the user. Just as the system uniquely stores the scanned documents for access and retrieval, the system also has "viewer software" that is often unique or proprietary to the specific imaging, EDMS or ECM system.
As systems are upgraded or changed to new systems, the scanned documents will need to be migrated or converted to be used in subsequent systems for continued access. Repeated migrations and conversions of data most often result in data degradation. That is, missing bytes or misinterpreting bytes during the conversion/migration process. The result could be a corrupt document that is not viewable at all, or perhaps a document with ‘holes’ or missing information. Hence, if long-term or archival documents are stored solely electronically, it is almost certain that the information will not be continually accessible, or significant planning must be done and investments made in migrating and backing up documents in order for electronic documents to survive long term. This is almost always far more costly than anticipated.
The notion of producing microfilm is sometimes considered antiquated and, as I’m seeing now, is being questioned and/or believed to be no longer relevant or useful today. But I challenge you to take into consideration all the facts you have just read and learned about and to reconsider the importance of using microfilm. There is enduring value in microfilm and it is still the choice medium for preservation today.
Although microfilming services are no longer available through the PHMC, the same services and same staff are still available for Commonwealth agencies to utilize through the Department of Revenue’s Administrative Services. For more information, contact Rick Keller at 717-787-6320 or at
rkeller@state.pa.us
If there is a topic you’d like to see covered in a future edition of the Micro*Record’s e-Records Exchange, please submit your suggestion to Linda Avetta at lavetta@state.pa.us