Records Management Training

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Records Management Training Cyndi Fout Lead
Project Controls August 27, 2008
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Agenda

• Purpose of Records Management
• Project File Set Up
• Hardcopy File Management
• Break
• Electronic File Management
• Break
• E-mail Management Correspondence
• Consolidating Existing Files
• Closeout, Archiving, and File Maintenance
• Activity
• Question Answer

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Purpose of Records Management

• Purpose of Records Management
• Complete and thorough project records
• Documents are easily retrievable
• Maintain consistency across projects
• Ease the merging of electronic and hardcopy files
• Internal Audit Report

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Purpose of Records Management

• What is a Project Record?
• Documents the function, policies, decisions,
  procedures, operations, and activities
• Examples
• FIPA Form
• Contracts
• Change Orders
• E-mails with directives
• Payment Request

5
Purpose of Records Management

• What is a Non-Project Record?
• DOES NOT document the function, policies,
  decisions, procedures, operations, and activities
  
• Examples
• Preliminary drafts (when superseded)
• Simple Transactional Communication
• Personal Copy or Extra Copy

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Project File Set-up

• Project File Set-Up
• Data Control Technician responsible to set up
  both hardcopy and electronic file folders
• Project File Structure
• Hardcopy Initial Folder
• Electronic File Template

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Project File Set-up

• Communication to A/E, Construction Manager, and
  Consultants
• Project Manager is responsible to share Project
  File Structure
• Strongly encourage them to organize their files
  in same manner

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Hardcopy File Management

• Location
• Lektriever
• Cabinets across from FDC mail boxes
• Cabinets along the hallway by the kitchen
• Times 2 along the south wall (Medical Center
  Team)
• Projects filed in numerical order
• File cabinets labeled

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Hardcopy File Management

• Supplies
• File folders
• Hanging folders
• Pendaflex
• Pre-printed colored file labels
• Blank white file labels
• In/Out guide
• Personal Copy stamp
• File stamp

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Hardcopy File Management

• Supply Location
• Shelves below Lektriever
• Shelf in Times 2
• Maintenance Building
• 2nd Floor Central Service Bldg
• PARE

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Hardcopy File Management

• Folder Labels
• Color coded labels (green, blue, yellow, red)
• Existing folders cannot be renamed or renumbered
• Add subfolders as needed (yellow and red levels
  only)

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Hardcopy File Management

• Pre-printed labels for file folders
• Vendor name may need to be hand written or typed
• Personal Copy Stamps PERSONAL COPY
• Copies kept at desk for reference

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Hardcopy File Management

• Project File Responsibility and Checklist
• List documents that are to be filed under
  specific folders
• Chronological order, most recent on top
• Numerical order, highest number on top
• Identifies person responsible to place document
  in file or in the designated To Be Filed trays

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Hardcopy File Management

• Project File Responsibility and Checklist
  (contd)
• All procurement activities are under folder 0100
  (including construction SoV SMSD)
• SD, DD, CD, Bid Documents, Conformed Documents to
  be submitted as a PDF
• Will be added to the Building Design Standards

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Hardcopy File Management

• Stamp documents to be filed
• FILE COPY
• Project _____________________
• Folder ______________________
• Main Subfolder _______________
• Subfolder Name_______________
• Checking Out Files
• In/Out Guides

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Hardcopy File Management

• Records may need to be kept at employees desk
  until task is complete
• Professional Services Contracts Amendments
• Construction Contracts
• Bid Conformed Documents (Plans Specs)
• Prevailing Wage
• Required to be kept in a secure location separate
  from project records

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Hardcopy File Management

• A central file will be available for all 5-15 Day
  Notices and Professional Services/Contractor
  Evaluations
• Data Control Technician (DCT)
• will maintain file
• Located in Lektriever

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Break

• 10-Minute Break

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Electronic File Management

• Location
• Accessible via NetLink (must be connected to
  server)

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Electronic File Management

• Accessing from Remote Location
• Use VPN Connection
• Instructions for Accessing FOD VPN
• Contact FOD IT Help Desk if you have problems

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Electronic File Management

• Main Project Folders (green)

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Electronic File Management

• Main Subfolders (blue)

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Electronic File Management

• Subfolders to main subfolders (yellow)

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Electronic File Management

• Additional Subfolders (red)

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Electronic File Management

• Project Team may need to add additional yellow or
  red level folders
• Correspondence folders
• Vendor/Contractor specific folders
• Copy template subfolders when needed
• Copying folders will also copy subfolders

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Electronic File Management

• Right click on subfolder name then select copy

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Electronic File Management

• Right click inside window and select paste

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Electronic File Management

• Right click on folder name and select rename

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Electronic File Management

• New subfolder is created with vendor name

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Electronic File Management

• Subfolders are also copied

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Electronic File Management

• Are you consistently adding yellow or red
  folders?
• Discuss with Lead Project Controls to include in
  project folder template
• Does not include specific vendor folders
• Do not add green or blue level folders
• Discuss with Lead Project Controls what your
  needs are
• Changes can be made to the standard template

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Electronic File Management

• Creating Shortcut Folders
• Locate project folder on L drive under
  FDC-Projects folder

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Electronic File Management

• Right click on the project folder and select
  create shortcut
• shortcut to ltproject gt will appear at the end
  of the folder listing

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Electronic File Management

• Right click shortcut folder, select cut
• Right click on desktop, select paste

Shortcut folder will appear
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Electronic File Management

• To rename the folder, right click on the folder
  name, select rename and enter new folder name

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Electronic File Management

• Proper File Identification
• Describes the document
• Accurately tracks document production and
  distribution (version control)
• Footer includes path and file name
• Consistency helps meet legal requirements and
  identifies the content of the document

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Electronic File Management

• File Path
• Identifies the location of the document
• L\FDC-Projects\OSU-071534\0100
  Procure_Products-Services\ 0110_Associate\Selectio
  n_Process
• File Name
• Name of the file as it stands alone
• 0100_Interview_Agenda
• note you may need to update certain
  tools/templates that could be filed in
  multiple folders (i.e., 0110_Interview_Agenda
  0120_Interview Agenda

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Electronic File Management

• Version Control
• Tracks revisions and comments
• Dates place at the beginning of the file name
  as
• yyyy-mm-dd
• Revision numbers place at the end of the file
  name as
• Rev_1 or V_1

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Electronic File Management

• Project Delivery Site (New Look)

Expandable Sections
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Electronic File Management

• Templates/Tools under each section

Click on triangle to expand and collapse
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Electronic File Management
Project policies, guidelines, and instructions
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Electronic File Management

• Templates/Tools
• Footer already includes file path and file name
• File name includes folder number and document
  name
• L\FDC-Projects\_Documents\0000_Initiate-Plan_The_
  Project\0030_Estimate_Letter.doc
• Once saved in the project file the hard copy file
  will have all the information in the footer to
  file the document no file stamp is needed

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Electronic File Management

• Saving tools/templates into project file
• Open tool/template from the Project Delivery Site
• File download message will appear. Select Save

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Electronic File Management

• Select L drive

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Electronic File Management

• Select FDC Project folder

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Electronic File Management

• Select project folder (numerical order)

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Electronic File Management

• Select main project folder

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Electronic File Management

• Select main subfolder

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Electronic File Management

• Select subfolder

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Electronic File Management
Select Save
Note the file name does not need to be changed
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Electronic File Management

• This window message will appear

Click on open
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Electronic File Management
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Electronic File Management

• Footer has now been updated note it is NOT
  saved

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Electronic File Management

• After the document is printed, you must save the
  document for the updated footer to be saved
  permanently.
• The below message box will appear each time you
  open the document and print it
• Select yes to save changes

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Electronic File Management

• Footer has now been saved

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Electronic File Management

• Documents available via NetLink
• Invoices/Payment Request
• Change Orders
• Purchase Orders (future phase)
• Typically available within 1-2 weeks after final
  approval

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Electronic File Management

• View documents via main project module

Click on DMS icon
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Electronic File Management
Search brought back all items scanned for
project Select document to view Click on
icon beside the check box to open document
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Electronic File Management
Document displays Click on blue arrow to
navigate through pages
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Electronic File Management

• Selected documents available to view via NetLink
• Contracts Module view change orders and
  purchase orders
• Invoice Module view invoices and payment
  request

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Electronic File Management
View selected Change Order
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Electronic File Management
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Electronic File Management
View all Change Orders for vendor
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Electronic File Management
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Electronic File Management
View all change orders
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Electronic File Management
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Electronic File Management

• File Backup
• Full backup of server is performed weekly
• Modified files are backed up 4 to 5 times daily
• Monthly backups are stored offsite
• Remember your computer hard drive is NOT backed
  up by IT. Loss of data can occur.

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Break

• 10-Minute Break

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E-mail Management

• Considered Public Record
• FOD IT Policy allows IT to access any project
  related e-mail for Public Records request
• Mimosa an additional program BF has purchased
  that will provide additional functionality for
  public records requests and e-mail archiving

70
E-mail Management

• Create a project folder in your Personal mailbox
  in Microsoft Outlook
• Folders should be created following the Project
  File Structure
• Create a Completed Projects folder in your
  Personal mailbox
• Move e-mail records once project is marked closed
  in NetLink

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E-mail Management

• Subject line should always begin with Project
  Number followed by the topic
• Ex OSU-071534_Estimate Letter
• Remember to proofread for accuracy
• E-mail threads should typically not exceed three
  replies telephone or face-to-face conversation
  is more effective
• Avoid personal comments

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E-mail Management

• Typing in ALL CAPS denotes yelling or screaming
  in e-mail
• Dont forget your manners please and thank
  you
• Use read receipts sparingly
• Do not over use High Importance

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E-mail Management

• Out of Office message
• Use if you are going to be out of the office for
  one day or more
• Include duration of time out of the office
• Make sure you include the name and other contact
  information for someone who can handle concerns
  in your absence
• Out of Office Assistant is located under the
  Tools menu in Outlook

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Correspondence

• Correspondence
• to be filed in folder 0710 by source
• Most recent date on top for the hardcopy files
• Project Team member listed first in the addressee
  area or in the cc field is responsible to place
  official record in the project file

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Correspondence

• Correspondence (contd)
• All other copies should be marked as Personal
  Copy (purge at end of project)
• Correspondence that addresses multiple projects
  should be filed in each referenced project

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Archiving Files

• Complete Project File Responsibility and
  Checklist
• Hardcopy will be placed in the first Pendaflex or
  hanging file folder for hardcopy files
• Electronic copy will be placed directly under the
  electronic project folder
• Fill out as tasks are completed
• Purge drafts, duplicate copies, and personal
  copies

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Archiving Files

• Obtain project records from Associate,
  Construction Manager, and Consultants
• PM/CM to review files for completeness
• Electronic files (including Prolog,
  Constructware, etc.) are to be submitted on a DVD
  as a PDF file
• These files will be placed in a separate box from
  our files and sent to off-site storage

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Archiving Files

• Once projects are marked closed in NetLink, the
  final archiving process begins
• Project Accountant will notify the Data Control
  Technician when project is marked closed

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Archiving Files

• Data Control Technician responsibilities include
• Reviewing the Project File Responsibility and
  Checklist for completeness
• Contacting the project team to verify no
  additional records need filed
• Coordinate the marking of project files as read
  only
• Label archival boxes and update archive inventory
  database accordingly
• Transport project records to off-site storage

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Archiving Files

• Project Records filed separately
• As-Built Drawings FDC Technical Services/Data
  Storage Retrieval
• Small Scale Drawings PARE
• OM Manuals
• FOD Programmed Maintenance (bldg maintained by
  FOD)
• Facility Manager (branch campus)
• Medical Center Project Manager (bldg maintained
  by Medical Center)
• Electronic images accessible via NetLink

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Archiving Files

• Any records that were missed during archiving
  should be marked accordingly and given to DCT to
  place in files at off-site storage
• To obtain files from offsite storage, contact the
  DCT
• Request needs to include the project number,
  project name, folders, and document names

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Archiving Files

• DCT will be responsible for sending the project
  records required to be retained permanently to
  University Archives
• Currently working on updating the retention
  schedule

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Consolidating Existing Files

• All existing project records (hardcopy and
  electronic) need consolidated into the main
  project file by December 31, 2008.

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Consolidating Existing Files

• Electronic Files
• Create a new folder directly under the main
  project folder using your Novell Windows login
• (ex cfout)

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Consolidating Existing Files

• Hardcopy Files
• Need to be organized and stamped with the file
  location information before placing them in the
  To Be Filed tray (unless you opt to file
  yourself)
• Project phases that are complete have a minimum
  requirement to be filed at the green folder level

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Consolidating Existing Files

• All documents for future phases of the project
  will need to follow the new Project File Structure

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File Maintenance

• Best Practices
• File items throughout the life of the project
• File names are consistent
• Project_DocName
• Purge drafts as they are superseded by final
  documents (keep only those that show significant
  work or changes)

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File Maintenance

• Best Practices (continued)
• Limit extra copy, duplicates, or personal
  copy files
• Purge when no longer needed
• Remove at the end of the project
• Complete the Project File Responsibility and
  Checklist as phases are complete

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Records Management Activity
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Clean Up Day

• September 24th File Cleaning Day

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Records Management Pilot

• Questions/Discussion?