FY2009 Annual Report
Records Management
The State Records Management Program's mission is to promote the efficiency and continuity of state government, document the rights of Missouri citizens, hold state officials accountable for their actions and preserve our state's heritage by providing state agencies with the necessary instruments to develop effective and efficient information control. Services are provided at no charge to state agencies. Organizationally, the Records Management Program consists of three components: Records Analysis and Consultation, the State Records Center, and the Imaging Services Section.
Records Analysis and Consultation
Sound records management programs consist of a planned and coordinated set of policies, procedures, and activities to manage recorded information. The professional Records Analysis staff, comprised of records analysts and electronic records archivists, is an invaluable resource to state agencies. Analysts help to develop records management policies and guidelines, and provide the expertise and knowledge to assist agencies in operating effective and efficient records management programs.
Records Tracking Software
In the last months of FY07, the Records Management Division purchased a records tracking system from Infolinx Software Solutions. Throughout FY08 the Records Analyst staff spent many hours working with the vendor, the Records Center staff and Imaging staff to test and deploy the software. The design and implementation phase included discussions with customers, creating manuals, developing procedures, designing training materials, cleaning up data in the existing database and preparing the records centers to use barcode technology. All three sections of Records Management assisted with barcoding boxes and shelves, and migrated data for 280,000 boxes, 255,000 rolls of microfilm, and over 8,000 record series.
The result of the year long process was the creation of the State of Missouri Agency Records Tracking (SMART) system. SMART is a web-based system that provides state agency customers with online access to the services of the Division. SMART allows agencies to: view/update agency records disposition schedules; create/view/request/transfer boxes or files for their particular agency to/from the State Records Center; and view and request copies of rolls of microfilm stored in the microfilm vault.
The system is expected to reduce the turn around time for updating and creating agency records retention schedules, allow agencies to easily integrate their retention schedule into electronic records management systems, and give agencies easier access to their holdings in the records center. The system will also give agencies the ability to index their own records down to the file level.
Records Retention and Disposition
A major key to managing records is determining how long to keep them and when they can be destroyed after their active usage has diminished. Records retention is based on the life-cycle concept: like other resources, the value of most information tends to
Records Management files
The primary tool for documenting these determinations is the Records Disposition Schedule. The Records Analysis staff works closely with state agency officials to identify categories of agency records and incorporate them into an Agency Records Disposition Schedule. Once the agency identifies one or more series of records, the analysts and archivists meet with agency officials to determine how long the records are needed to meet business functions. They research statutes, regulatory codes, and similar records series in states across the nation. The analysts work with agencies to prepare draft disposition schedules, which include the records series title, a clear description of the records and how they are used, and the retention and disposition instructions after the records become inactive.
After reaching consensus with the agency, the analysts take the proposed Agency Records Disposition Schedulesbefore the State Records Commission for discussion, necessary revisions, and approval. Once approved by the Commission, the schedule serves as the legal authority for the agency to either destroy obsolete records or transfer historical records to the Missouri State Archives. The staff currently maintains more than 950 records retention and disposition schedules, including the general schedules that apply to all state agencies.
State Records Commission Meeting
The State Records Commission determines how long records must be maintained in order to serve the needs of government. Once the records have met their retention requirements, the Commission determines their proper disposition either by destruction or transfer to the Missouri State Archives. The State Records Commission met on August 2, 2007. During the meeting updates to the Missouri General Retention Schedule and 69 agency schedules were approved.
The General Retention Schedule expanded from 13 record series to 99 record series. The General Records Schedulelists series of records that are common to all agencies and provides retention and disposition instructions. Any state agency may use the authority of the GRS to manage records listed on it. The agency specific schedules approved by the Commission were from the Department of Economic Development (3); Department of Conservation (18); Department of Revenue (1); Department of Natural Resources (12); Office of Administration (1); Department of Public Safety (22); Department of Health and Senior Services (5); and Department of Insurance, Financial and Professional Registration (7).
Records Management Liaisons Meeting
On October 30, 2007 the Records Management Division hosted a meeting of the Records Management Liaisons. Liaisons are the primary contacts in state agencies who work with the Records Management Division to update schedules, send boxes to the State Records Center, and consult about electronic records issues. There were 56 Liaisons at the meeting. Topics discussed at the meeting included a review of the Records Management program procedures, distribution of the updated General Retention Schedule, and a preview of the new Records Management software.
Staff Training and Development
During FY08, the professional staff continued developing their knowledge and understanding of records management concepts and new developments, particularly related to electronic records and technology. Staff attended the Association of Records Managers and Administrators (ARMA) International Conference, the Local ARMA Chapter Spring Seminar, and the National Association of Government Archivists and Records Administrators (NAGARA).
State Records Center
Many records may be retained for years after they are no longer used on a daily basis. The inactive life of a record can range anywhere from two-years to 75-years or more after its period of active use. In fact, some historical records must be maintained permanently. Records that are on a Records Disposition Schedule and have reached an inactive status may be stored within the State Records Center.
The State Records Center saves the state money by providing off site storage at a much lower cost per cubic foot than storage in agency office space. The storing agency can request records whenever they are needed, and return them for refiling. Records are stored in a secure facility, protected against unauthorized access, environmental hazards, pests, and fire. The Records Center also tracks the retention periods of stored records, ensuring that records that no longer have any value are disposed of as soon as possible after they are eligible.
While the Records Center is the physical custodian, the transferring agency maintains proprietary control over its records while they are stored in the State Records Center. State agencies with an approvedrecords retention and disposition schedule are eligible to store records in the State Records Center.
Facilities
The State Records Center operates in three separate facilities. The Kirkpatrick State Information Center (KSIC) is the main facility. The KSIC's climate-controlled environment was designed for the protection and preservation of long-term records (those with a retention of more than ten years) and permanent records. The facility currently holds 141,342 cubic feet. The KSIC facility has been near capacity since 1995. KSIC can only accept new records into the facility as eligible disposable records are removed.
Records Stored in the State Records Center
The two annex facilities do not have air conditioning, so records stored in these facilities experience the extremes of Missouri's temperature and humidity changes. Annex 1, located off Missouri Boulevard in Jefferson City, houses 76,480 cubic feet of records, opened in 1995. Annex 2, located on Jaycee Drive in Jefferson City, opened in July 2001. Additional shelving was added to fill the remaining open floor space for a total capacity of 108,024 cubic feet of storage. The maximum capacity of the three facilities is 325,846. Without additional shelving all three facilities are expected to be at operational capacity of 96% in FY10.
Holdings
Total accessions for FY08 were 27,360 cubic feet of records. Staff recycled 29,551 cubic feet of records that had met their retention requirements. This is the most ever for a single year in the history of the program. For the first time in 20 years the records center had a net reduction of boxes taken in versus boxes destroy of 2,191 boxes. The high increase in destruction can be attributed to the extra effort of the Records Management staff to get agencies to sign-off on records that were eligible for destruction. However, the Records Center transferred 8,104 spaces to the State Archives to allow the Archives to expand its holdings. As a result, the records center had a reduction of 5,913 spaces available for new boxes.
As of June 30, 2008, the State Records Center held 279,963 cubic feet of records of which more than 151,035 cubic feet are permanent and will not be destroyed. Many of these records are confidential and will never be transferred to the Missouri State Archives. The holdings belong to approximately 314 business units within state agencies. The following chart illustrates the volume of records stored by the fifteen most active state departments.
Cost Comparison
To illustrate the cost savings of storing records in the State Records Center, assume that all 27,360 boxes received in FY08 in the Records Center are to be retained for five years. In reality, many of the boxes will be retained longer. The following table compares the cost of storing files in the records center versus storing them in filing cabinets in an agency's office for just the five year period. The assumptions are based on:
- The average cost of a four drawer letter sized file cabinet, the floor area required to place and access files in cabinets, and a statewide average cost of leased office space of $10.24 per square foot, the estimated annual cost of storing one cubic foot of records in an office environment is $13.03.
- The average per year cost to store a cubic foot box of records in the State Records Center is $1.15.
- The cost to process and destroy a box of files $0.61.
Cost Comparison:
Storage in the State Records Center v. Agency Office Space
| Costs | State Records Center | Agency Office Space |
|---|---|---|
Year 1 |
$4.56 |
$13.03 |
Years 2-5 |
4.60 |
52.12 |
Destruction |
0.61 |
0.61 |
Total Cost per box |
$9.77 |
$65.76 |
|
|
|
Cost to store 27,360 boxes five years |
$267,307 |
$1,799,194 |
Savings over five years |
$1,531,866 |
|
These savings are based solely on the records accessioned in FY08 and do not reflect the savings for the additional 252,603 boxes held at all three facilities.
Courier Services
Box Delivery Truck
Records Center personnel schedule pick-up and delivery services of boxes for agencies within Jefferson City. Agencies outside of Jefferson City are responsible for arranging for their own records shipments. Agencies may request individual files, which are returned through inner-agency mail in Jefferson City, and through the postal service for those outside Jefferson City. Agencies are responsible for returning the files.
Servicing the Records
Agencies retain full access to their records in the State Records Center. If an agency needs files from its boxes, a Records Center clerk retrieves the file and sends it to the agency. When the agency returns the file, a staff member refiles it in the appropriate box. This process is referred to as Pull Requests. On average, Records Management processes 63,901 pull requests each year to support state agencies' performance of their missions. In addition to these requests, numerous state agencies pull and refile their own files using their own staff.
Records Center Growth
The requirement for economical paper records storage will continue throughout the next 40 years. Computers and electronic forms of communicating and transacting business have been common in offices for over 20 years. At one time it was thought that the advent of computers would lead to the idea of the "paperless office," where paper files and records could be eliminated or greatly reduced. The reality is that technology has created a proliferation of paper, mostly based on the ease of creation and duplication.
As the amount of information contained in electronic systems continues to increase, so too does the amount of paper records generated in relation to that electronic data. The following graph illustrates storage holdings in the State Records Center over the past 8 years.
State Records Center Holdings:
FY02 through FY09
Records Management staff work diligently to limit the rate of growth in Records Center holdings, by promptly processing destruction of eligible records as quickly as possible, and by reviewing agency disposition schedules to shorten retention periods when appropriate. Nevertheless, the holdings continue to grow. At the present rate of growth, Annex 2 will run out of room by April 2009, leaving only limited space at Annex 1 for future storage. Expectations are that by July 2009, new storage boxes will only be allowed into the records center as other boxes eligible for destruction are removed from the records center.
The Records Management Division believes that the most effective means to deal with this problem is for the state to plan for and build a dedicated records storage facility, designed specifically for the efficient and economical storage of records in all media, and providing room for expansion to accommodate future growth. Records Management first proposed a Records Center Campus in 2000. Although it was considered favorably at the time, budget situations prevented it from being advanced beyond the initial stages.
During the FY08 Legislative Session, Records Management worked with the Secretary of State's Administration, the Office of Administration and the Legislature to secure funding for a new records center building in FY09. A request for proposal will be released for bids during the first quarter of FY09. The new records center will secure enough space to consolidate the two annexes into one location and add built space for ten years of growth and additional land for future expansion in the same location. The consolidation will improve efficiencies for the Records Management Division by allowing for continued growth while maintaining current staff levels.
Imaging Services
Microfilm is an excellent storage medium for the preservation of long-term and historically significant records. Digital imaging is a great tool for accessing and disseminating information quickly to multiple users. Both have advantages and disadvantages that must be weighed when deciding how to best care for and manage information resources within an organization.
The Imaging Services Section has operated a full-service microfilm laboratory since 1967. Services include source document microfilming, microfilm processing and duplication, rigorous quality assurance testing, and storage within a state-of-the-art environmentally controlled vault. In 2001, Imaging Services purchased a Wicks and Wilson microfilm scanner to digitize microfilm. In 2005, the section purchased its first digital high-speed scanner and began utilizing a Kodak Digital Archive Writer to scan important records for easy access while ensuring their long-term preservation on proven microfilm media. In FY08, Imaging Services acquired additional digital equipment and reconfigured the production floor as part of the Missouri Digital Heritage Initiative. Acquisitions included a 35 mm Archive Writer, two oversized flatbed scanners, a flatbed scanner capable of scanning documents three feet by four feet, two rotary scanners, two microfilm scanners, and one microfiche scanner.
Digital Imaging Services
In FY08, the Imaging Section completed the scanning of the State of Missouri death certificates. All years between 1911 and 1957 have been scanned and are available to the public through the Missouri Digital Heritage Website. Missouri Death Certificates are closed records for 50 years by statue. Additional years will be added as the 50 year threshold is reached.
This year was the beginning of a new partnership with the State Archives and State Library as part of the Missouri Digital Heritage Initiative. Imaging Services provides content for the Missouri Digital Heritage Website that is supplied by various organizations through the Archives and Library.
Scanning Death Certificates
In the first year of the Missouri Digital Heritage Initiative, staff scanned 1,316,602 images for various projects. Some of the projects included the Little River Drainage District Images, Official State Manuals, Registers of Inmates, Missouri Reports and Agriculture Annual Reports. The images were scanned from paper documents and rolls of microfilm. The total number of images scanned is impressive considering the staff was not in place until the second quarter of the fiscal year and they had to learn how to use each new piece of equipment as it arrived.
Microfilming Services
The Records Management Division continues to microfilm records for state agencies. Microfilm is used by agencies who want to preserve historical documents, provide access to older documents without damaging the originals, and for agencies who do not have the funds to purchase or maintain imaging systems, but have a need to maintain records in offices with limited storage space. During FY08, Imaging Services filmed 3,657 rolls of microfilm producing 7,475,114 images.
Processing, Duplication, and Quality Assurance
Microfilm processors
In addition to processing and duplicating film the unit has created, staff processes and duplicates film created by state agencies. Technicians visually inspect each roll of microfilm and conduct tests for density and resolution. If defects are found during this inspection, the film is rejected and the project is re-filmed. During FY08, technicians processed 7,274 rolls of microfilm and duplicated 14,248 rolls.
Vault Storage
The microfilm vault is kept at a constant temperature of 58° (plus or minus 2°) with a constant humidity level of 35% (plus or minus 2%). If either the temperature or the humidity level fluctuates past the plus or minus 2 mark, an alarm sounds and service technicians are immediately dispatched. Properly stored film, such as that within the vault, should have a usable life of at least 500 years. Currently, more than 164,000 rolls of microfilm are stored in the vault.
State Records Commission
The seven-member State Records Commission was created by state statute (RSMo 109.250). The Commission determines how long records must be maintained in order to serve the needs of government. Once the records have met their retention requirements, the Commission determines their proper disposition either by destruction or transfer to the Missouri State Archives.
State Records Commission Members
Robin Carnahan, Chair |
Craig Kelso, Secretary |
Senator Gary Nodler |
Representative Dwight Scharnhorst |
Ken Kuster, Designee for |
Brett Berri, Designee for |
Dan Ross |
Dr. Gary Kremer, Executive Director |