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IIMC Records Management Technical Bulletin Series

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Funding Your Records Management Project By Diane R. Gladwell, MMC IIMC Records ManagementTechnical Bulletin Series 2012 Records Management Technical Bulletins This publication, one of sixteen bulletins
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Funding Your Records Management Project By Diane R. Gladwell, MMC IIMC Records ManagementTechnical Bulletin Series 2012 Records Management Technical Bulletins This publication, one of sixteen bulletins in the 2012 Local Government Records Management Technical Publication Series, is a joint effort of the Municipal Clerks Education Foundation (MCEF), the International Institute of Municipal Clerks (IIMC), and the National Association of Government Archives and Records Administrators (NAGARA). Funding for this project was made available, in part, by a grant from the National Historical Publications and Records Commission. The Municipal Clerks Education Foundation (MCEF), established in 1984, is a taxexempt, nonprofit foundation under Section 501 (C)(3) created to raise funds for its partner, the International Institute of Municipal Clerks. IIMC uses these funds to promote, train and educate Municipal Clerks, making them proficient in the services they provide for the citizens of their community. MCEF is a diverse team of volunteers who are passionately committed to helping IIMC pursue its educational objectives. The International Institute of Municipal Clerks (IIMC) is devoted to advancing the professionalization of the Office of Municipal Clerk and improving the efficiency of municipal government. The IIMC provides its members with educational, conference, reference, research, and informational services designed to keep them informed of changes in the professional community. The National Association of Government Archives and Records Administrators (NAGARA) is a professional association dedicated to the improvement of federal, state, and local government records and information management programs and the professional development of government records administrators and archivists. The National Historical Publications and Records Commission (NHPRC), a statutory body affiliated with the National Archives and Records Administration (NARA), supports a wide range of activities to preserve, publish, and encourage the use of documentary sources, created in every medium ranging from quill pen to computer, relating to the history of the United States. ii IIMC Records Management Technical Bulletin Series Preface Like every organization, local governments create and maintain large quantities of records. Many of these records not only are of great value to the local government, but also are of concern and essential to the citizens of the community. Federal and state-mandated program requirements, changes in growth and development patterns, expanded service needs, the use of computers and other technologies for creating and using information, and the proliferation of copies in various formats, have all contributed to this enormous accumulation of records. Each publication is intended to make available to local governments the basic principles, policies, and guidelines that should be followed in establishing a sound records management program and in carrying out sound records management practices. The series is intended for local officials, with limited resources, who lack formal records management or archival training but who have custodial responsibility for records. These local governments include townships, villages, cities, counties, school districts, and other local political subdivisions and special-purpose districts. Each of the following publications in the series includes a bibliography that refers to other reading for more detailed information and guidance. Overview: Starting a Records Management Program, The Daily Management of Records and Information, Making Your Records Management Program Successful, Managing Records on Limited Resources, Funding Your Records Management Project Creation, Collection and Storage: Identifying and Locating Your Records, Establishing Records Retention, The Selection and Development of Local Government Records Storage Facilities, Developing a Records Storage System Preservation, Promotion, Use and Access: Archives for Local Governments, Protecting Records, Using and Storing Microfilm Care, Management, and Preservation of Electronic Records: Management, Selecting and Using Document Imaging Systems, Managing Electronic Records, Preparing for E-Discovery Copies of these bulletins are available on the IIMC and NAGARA websites. IIMC at IIMC Records Management Technical Bulletin Series iii Acknowledgements Meet the Author: Diane R. Gladwell, MMC Diane R. Gladwell, MMC has facilitated the records management programs, including retention schedules and document imaging systems, for over 150 municipal governments. For six years, she was a City Clerk, serving as an executive in two cities and managing organization-wide records management programs. She also managed the payment systems for the Food-4-Less chain for nine years, where she had 120 people reporting to her. Diane has a Bachelor s degree in Business Administration. She is listed in Who s Who of Professionals; her work has won the many prestigious awards in the Records Management Industry. Editor: Dr. Julian L. Mims III, CRM, CA Julian Mims is a career archivist, records manager and educator. He directed the local records program at the South Carolina Archives from its inception. He was in charge of the Long Island office of the New York State Archives and Records Administration (NYSARA). As a Vice President and Award of Merit winner of ARMA International, he helped to found a record ten ARMA chapters. Dr. Mims is the author of the International City/County Managers Association (ICMA) best-seller, Records Management: A Practical Guide for Counties and Cities, and was editor of ICMA s Electronic Records Management. Earning a doctorate from the University of South Carolina in 2001, he has taught at six colleges and universities. Special thanks to the support team: Dale Barstow Project Co-Director and MCEF President, Municipal Code Corp., Tallahassee, FL Paul R. Bergeron, MMC, CA Project Co-Director and NAGARA Liaison, Office of the City Clerk, Nashua, NH Marian Karr, MMC MCEF Treasurer, Office of the City Clerk, Iowa City, IA Chris Shalby IIMC Executive Director and IIMC Liaison, Rancho Cucamonga, CA Reproduction is permissible with credit to the authors and the publication partners (MCEF, IIMC and NAGARA). Citation example: Author Last Name, Author First Name. Title of Bulletin. Local Government Records Management Technical Publication Series. Ed. Julian L. Mims III. Rancho Cucamonga, CA: MCEF, IIMC and NAGARA, Print (or Web. Date of Access). iv IIMC Records Management Technical Bulletin Series Table of Contents Introduction...1 PHASE 1: Establish Goals for Your Program...1 PHASE 2: Assess the Scope of the Problem and Develop Possible Solutions...2 Task 2a: Benchmark Your Program...2 Task 2a-1: Legal Mandates...2 Task 2a-2: Standards...3 Task 2a-3: Studies and Statistics...3 Task 2a-4: Analyze Costs...4 Task 2b: Identify Unmet Needs / Areas Not in Compliance / Improved Efficiencies and Costs Savings...4 Task 2c: Identify Possible Solutions...5 PHASE 3: Develop Your Project Plan and Budget...5 PHASE 4: Identify and Quantify Benefits...6 Task 4a: Use Statistics...6 Task 4b: Gather Publications...6 Task 4c: Use Quotes from Outside Experts...6 PHASE 5: Develop Your Communication Plan...7 Task 5a: Identify the Budget Decision Makers...7 Task 5b: Develop Your Message...7 PHASE 6: Seek Advice and Partnerships...8 Task 6a: Identify the Decision Makers...8 Task 6b: Build Positive Relationships...8 PHASE 7: Create Revenue Streams for Your Program...9 PHASE 8: Locate Funding Opportunities...9 Conclusion Resources AppendixA: Sample Project Budget IIMC Records Management Technical Bulletin Series v Funding Your Records Management Projecr INTRODUCTION Obtaining funding to develop and implement your organization s records management program is key to its success. This technical bulletin will help you obtain funding, no matter how large and overwhelming the program s scope may seem. Real-world examples and ideas from many municipal governments are included to assist in requesting, communicating, and successfully obtaining a budget that can appropriately support the records management function in your organization. Many alternatives and options may be available to locate and achieve funding. Select those ideas and approaches from this technical bulletin that will be the most successful (the best fit ) in your organization. PHASE 1: Establish Goals for Your Program Goals support the vision, mission, and values of your organization. Look at your organization s formal budget, strategic plan, or other planning document, and review objectives for the legislative body and departments that are articulated. What records management goals will support aims stated in the budget and/or strategic plan? The more closely records management purposes are tied to budget or other goals established by your organization, the more likely your project is to be funded. Here are some ideas for goals as suggestions (use them as idea launchers for your program.) Increase Transparency. By increasing accessibility to records, you increase trust and participation. Increase Customer Service Levels. Finding records quickly is highly valued by both internal and external customers. Reduce Expenses. Eliminate unnecessary records and expedite procedures, reduce the cost of records storage. Free Office Space. Implementing records programs can save significant dollars in remodeling costs, and avoid purchasing new filing cabinets and other equipment. Ensure Accurate, Complete, Trustworthy Records. Records must meet evidentiary requirements, and provide accurate evidence of the government s activities. Emergency Preparedness. Identifying, protecting, and making vital records available despite a fire or flood protects the lives and property of our citizens. Protect our Environment. By reducing the amount of paper our organizations use, recycling, and through other measures, records management is an important part of green initiatives. Provide Accountability. Documentation underwrites checks and balances, to help ensure legal, ethical decisions. Protect Citizens Rights. Property records, permits, licenses, and other records protect citizens rights, and shield them from harm. History and Culture. Records provide a framework and context of how and why decisions were made. Avoid Expensive Records Productions. Many local governments have spent huge sums of money producing / reviewing multiple drafts or copies of unnecessary records. The cost of having an attorney review these documents is very high, and is a chief motivating factor in funding many records management programs. Comply with Laws (local / State / Provincial / National.) Look for opportunities. Several jurisdictions have funded records management implementation projects as a way to avoid expensive capital expenditures in remodeling and/or creating extra office space. One jurisdiction even funded their records management project under City Hall Expansion they avoided expanding City Hall by implementing their records management program. IIMC Records Management Technical Bulletin Series 1 Funding Your Records Management Project PHASE 2: Assess the Scope of the Problem and Develop Possible Solutions An assessment of the state of your records management program will reveal where your program needs improvement. City of Sausalito, CA records room prior to disposition, digitization, and reorganization projects. City of Sausalito, CA records room prior to disposition, digitization, and reorganization projects. This can be accomplished several ways, including: In-house assessment - The Records Manager (or person responsible for the records management program,) conducts the assessment, meeting with each Department using tools designed to obtain factual information. - Department employees conduct a self-assessment using tools provided by the Records Manager (or person responsible for the records management program.) Hire an outside expert to conduct your assessment. Each alternative will have advantages and disadvantages. In-house assessments are usually less expensive; however, executives and the budget decision-makers may be less likely to fund the resulting recommendations. This not a prophet in your own land syndrome has been experienced by many expert records management professionals. You may have a better chance of successfully funding your project if an outside expert conducts the assessment and makes the recommendation. Task 2a: Benchmark Your Program Benchmarking, or comparing your effort to records management legal requirements, standards, Best Practices and programs in other like organizations, is the next task. Develop a tool to ensure your benchmarks are appropriate, accurately reflect legal mandates / standards, and are equitably applied among different departments and functions in your organization. Once established, measure progress against your benchmarks at least annually (and present results to the Executive Team.) Task 2a 1: Legal Mandates Know what legal mandates your records management program has to comply with, and include these in your benchmarks. Benchmarks should include not only a determination whether your organization is in compliance with the law, but quantities where possible (e.g., the number of records requests, the number of labor hours required to comply, and any costs associated with providing the records.) Legal mandates should include compliance with Federal and local: Public records access laws, Records retention requirements (even if those retention requirements are unknown, or undetermined) Records destruction laws, Disaster recovery / vital records mandates, Storage requirements, Document imaging mandates (e.g., what is required if you want to destroy the paper version of the document to rely on the image as the original), Electronic records mandates, including , Litigation discovery mandates, Any other legal mandate for your jurisdiction. 2 IIMC Records Management Technical Bulletin Series Funding Your Records Management Projecr Legal Mandates: Disaster Recovery Planning Open files stored in the Juneau, Alaska Community Development Department, which is housed in the fourth floor of a combined office/apartment complex. The fifth floor contains residential units which have had frequent plumbing problems, including overflowing kitchen sinks and leaking tubs. Task 2a 2: Standards Review various standards that may be applicable to your jurisdiction, some of which are provided below. Even if these standards do not specifically apply to your jurisdiction, you can still benchmark your program against them: The Generally Accepted Recordkeeping Principles (GARP), published by ARMA International ISO (International Organization for Standardization) : Information and Documentation Records Management - Part 1: General - Part 2: Guidelines ISO/S : 2006 Information and Documentation Metadata for records - Part 1: Principles, - Part 2: Conceptual and implementation issues NISO TR-01, Environmental Guidelines for Storage of Paper Records ANSI/ARMA TR-01, Records Center Operations. ARMA International NFPA 232, Protection of Records. National Fire Protection Association, Shelving and Racking Guideline. PRISM International 36 CFR Part 1228, Subpart K Facility Standards for Records Storage Facilities (United States of America) 36 CFR 1236, Management of Vital Records (United States of America ANSI/ARMA : Retention Management for Records and Information FC311(M), Standard for Record Storage, Fire Commissioner of Canada Standard for the Physical Storage of Commonwealth Records, National Archives of Australia Records Management Standard: Storage of Semi- Current Records, United Kingdom Public Record Office Technical Bulletin Series, various records management subjects, IIMC & NAGARA (of which this Technical Bulletin is a part.) Many other standards can be found on the websites from the organizations listed in the Resources section of this technical bulletin. Task 2a -3: Studies and Statistics Many records management industry groups conduct periodic studies, and have statistics that you can use to benchmark your program to. Among other organizations, AIIM, ARMA, and IIMC s Records Management Committee regularly conduct surveys and studies; check their websites for the most recent applicable study for your particular issues. Don t forget local jurisdictions and state associations. In addition, some Master s or Doctoral candidates have conducted studies which can be useful to you. It may be helpful to develop your own local survey. A study or survey can be distributed to nearby jurisdictions, among association members, or to the comparable agencies that your Human Resources Department uses to compare job descriptions and salaries. Ensure your survey is applicable and meaningful to those that will be making the decision on whether or not to fund your project. IIMC Records Management Technical Bulletin Series 3 Funding Your Records Management Project Options for conducting a survey to develop benchmarks for your project include records management or municipal clerk s Listservs, telephone calls, mail, or by using Survey Monkey or other internet survey tools. Task 2a 4: Analyze Costs Accurately account for all costs regarding your records management project. Here are some areas that are typically unaccounted for: Commercial off-site storage costs. Many departments contract this individually be sure to specifically inquire about these: - U-store it storage units - Records management company storage costs, including the cost to retrieve and re-file records. Microfilming costs Outsourced imaging / scanning costs Your organization s overhead costs for records storage areas (lease and/or purchase costs). Your real estate or department responsible for acquiring office space can assist with this. Task 2b: Identify Unmet Needs / Areas Not in Compliance / Improved Efficiencies and Cost Savings Review the results of your benchmarks and costs of the current program in all areas, and identify areas that need improvement. Prioritize the unmet needs / areas for improvement in your program. There is no shame in having program areas that are not meeting all mandates or standards and/or needs improvement in the cost/benefit ratio. Document these areas. If you have no unmet needs, you don t require any funds for your project(s)! Other ideas that may assist you: Take pictures! Most executives won t have the time to do a site visit, but a picture is worth a 1,000 words. Track the hours spent, and total duration of time (e.g., 3 days) to locate an important record needed by an employee or a member of the public. Calculate the burdened cost salary and benefits of producing the record. Loss or damage to important documents Inadequate facilities (e.g. below sea level, not in compliance with environmental control standards, or boxes stored on the floor, etc.) Retention schedules that need review for legal compliance. 4 IIMC Records Management Technical Bulletin Series Funding Your Records Management Projecr RFP development, vendor selection and contract negotiation Software Hardware (Scanners, etc.) Shelving or Equipment Conversion of Systems (paper, electronic) Policy development or improvements (such as records destruction, or management.) Electronic records standards, policies, procedures SharePoint governance policies and procedures Employee training When you use vendor estimates, a profit motive may affect their recommendation. The most reliable recommendations come from vendors that do not sell systems (software / hardware.) Unmet Needs Inadequate facilities Barbara Berg, Juneau, Alaska Public library director stands near one many shelves of government documents that were taking up valuable library shelf space. Many are duplicate, not record copies. Document any deficiencies in the program, and make recommendations to correct them. Several Records Manage
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