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

Records Management Training

Cyndi FoutLead Project Controls

August 27, 2008

1

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 & Answer2

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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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• 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


• 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– Examples • Preliminary drafts (when superseded)• Simple Transactional Communication• Personal Copy or Extra Copy

6

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

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

7

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

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• 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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• 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


• 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

13


• Project File Responsibility and Checklist (cont’d)– 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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• Stamp documents to be filed:

FILE COPY

Project #_____________________

Folder #______________________

Main Subfolder #_______________

Subfolder Name:_______________

• Checking Out Files– In/Out Guides

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• Records may need to be kept at employee’s 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



• 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)


• 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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• Main Project Folders (green)

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• Main Subfolders (blue)

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• Subfolders to main subfolders (yellow)

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• Additional Subfolders (red)

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• 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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• Right click on subfolder name then select “copy”

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• Right click inside window and select “paste”

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• Right click on folder name and select “rename”

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• New subfolder is created with vendor name

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• Subfolders are also copied

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

Projects folder

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– Right click on the project folder and select “create shortcut”

– “shortcut to <project #>” will appear at the end of the folder listing

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– Right click shortcut folder, select “cut”– Right click on desktop, select “paste”

Shortcut folder will appear

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– To rename the folder, right click on the folder name, select “rename” and enter new folder name

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• 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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• File Path– Identifies the location of the document

L:\FDC-Projects\OSU-071534\0100 Procure_Products-Services\ 0110_Associate\Selection_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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• 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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• Project Delivery Site (New Look)

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ExpandableSections


• Templates/Tools under each section

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Click on triangle to expand and collapse


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Project policies, guidelines, and instructions


• Templates/Tools– Footer already includes file path and file name– File name includes folder number and

document nameL:\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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• 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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Select L drive

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Select FDC Project folder

45


Select project folder (numerical order)

46


Select main project folder

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Select main subfolder

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Select subfolder

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Select “Save”

Note: the file name does not need to be changed

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This window message will appear

Click on “open”

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52


Footer has now been updated – note it is NOT saved

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– 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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Footer has now been saved

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• 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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• View documents via main project module

Click on DMS icon

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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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Document displays

Click on blue arrow to navigate through pages

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• 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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View selectedChange Order

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View all ChangeOrders for vendor

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View all change orders 65


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• 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 B&F has purchased that will provide additional functionality for public records requests and e-mail archiving

69

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

• Don’t forget your manners – “please” and “thank you”

• Use read receipts sparingly

• Do not over use “High Importance”

72

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 (cont’d)– 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

77

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

Archiving Files

• Project Records filed separately:– As-Built Drawings – FDC Technical

Services/Data Storage & Retrieval– Small Scale Drawings – PARE– O&M 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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• Electronic Files– Create a new folder directly under the main

project folder using your Novell Windows login• (ex: cfout)

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• 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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• 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?

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