Records Management Training Cyndi Fout Lead Project Controls August 27,

Agenda Purpose of Records Management Project File Set Up Hardcopy File Management Break Electronic File Management Break Management & Correspondence Consolidating Existing Files Closeout, Archiving, and File Maintenance Activity Question & Answer 2

3 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

4 Purpose of Records Management What is a Project Record? –Documents the function, policies, decisions, procedures, operations, and activities –Examples: FIPA Form Contracts Change Orders s 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document the function, policies, decisions, procedures, operations, and activities –Examples Preliminary drafts (when superseded) Simple Transactional Communication Personal Copy or Extra Copy

6 Project File Set-up Project File Set-Up –Data Control Technician responsible to set up both hardcopy and electronic file folders –Project File StructureProject 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 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 8

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 9

Hardcopy File Management Supply Location –Shelves below Lektriever –Shelf in Times 2 –Maintenance Building –2 nd Floor Central Service Bldg –PARE 10

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) 11

12 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

Hardcopy File Management Project File Responsibility and ChecklistProject 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

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 14

15 Hardcopy File Management Stamp documents to be filed: FILE COPY Project #_____________________ Folder #______________________ Main Subfolder #_______________ Subfolder Name:_______________ Checking Out Files –In/Out Guides

16 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 Hardcopy File Management

A central file will be available for all Day Notices and Professional Services/Contractor Evaluations –Data Control Technician (DCT) will maintain file –Located in Lektriever 17

Break 10-Minute Break 18

19 Electronic File Management Location –Accessible via NetLink (must be connected to server)

Electronic File Management Accessing from Remote Location –Use VPN Connection –Instructions for Accessing FOD VPN –Contact FOD IT Help Desk if you have problems 20

Electronic File Management Main Project Folders (green) 21

Electronic File Management Main Subfolders (blue) 22

Electronic File Management Subfolders to main subfolders (yellow) 23

Electronic File Management Additional Subfolders (red) 24

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 25

Electronic File Management Right click on subfolder name then select copy 26

Electronic File Management Right click inside window and select paste 27

Electronic File Management Right click on folder name and select rename 28

Electronic File Management New subfolder is created with vendor name 29

Electronic File Management Subfolders are also copied 30

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 31

Electronic File Management Creating Shortcut Folders –Locate project folder on L drive under FDC- Projects folder 32

Electronic File Management –Right click on the project folder and select create shortcut –shortcut to will appear at the end of the folder listing 33

Electronic File Management –Right click shortcut folder, select cut –Right click on desktop, select paste Shortcut folder will appear 34

Electronic File Management –To rename the folder, right click on the folder name, select rename and enter new folder name 35

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 36

Electronic File Management File Path –Identifies the location of the document L:\FDC-Projects\OSU \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 37

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 38

Electronic File Management Project Delivery Site (New Look)Project Delivery Site 39 Expandable Sections

Electronic File Management Templates/Tools under each section 40 Click on triangle to expand and collapse

Electronic File Management 41 Project policies, guidelines, and instructions

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 42

Electronic File Management Saving tools/templates into project file –Open tool/template from the Project Delivery SiteProject Delivery Site –File download message will appear. Select Save 43

Electronic File Management Select L drive 44

Electronic File Management Select FDC Project folder 45

Electronic File Management Select project folder (numerical order) 46

Electronic File Management Select main project folder 47

Electronic File Management Select main subfolder 48

Electronic File Management Select subfolder 49

Electronic File Management Select Save Note: the file name does not need to be changed 50

Electronic File Management This window message will appear Click on open 51

Electronic File Management 52

Electronic File Management Footer has now been updated – note it is NOT saved 53

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 54

Electronic File Management Footer has now been saved 55

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 56

Electronic File Management View documents via main project module Click on DMS icon 57

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 58

Electronic File Management Document displays Click on blue arrow to navigate through pages 59

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 60

Electronic File Management View selected Change Order 61

Electronic File Management 62

Electronic File Management View all Change Orders for vendor 63

Electronic File Management 64

Electronic File Management View all change orders 65

Electronic File Management 66

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. 67

Break 10-Minute Break 68

Management Considered Public Record FOD IT Policy – allows IT to access any project related for Public Records request Mimosa – an additional program B&F has purchased that will provide additional functionality for public records requests and archiving 69

Management Create a project folder in your Personal mailbox in Microsoft Outlook –Folders should be created following the Project File Structure Project File Structure –Create a Completed Projects folder in your Personal mailbox –Move records once project is marked closed in NetLink 70

Management Subject line should always begin with Project Number followed by the topic Ex: OSU _Estimate Letter Remember to proofread for accuracy threads should typically not exceed three replies – telephone or face-to-face conversation is more effective Avoid personal comments 71

Management Typing in ALL CAPS denotes yelling or screaming in Dont forget your manners – please and thank you Use read receipts sparingly Do not over use High Importance 72

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 73

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 74

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 75

76 Archiving Files Complete Project File Responsibility and ChecklistProject 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

78 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

79 Archiving Files Data Control Technician responsibilities include: –Reviewing the Project File Responsibility and Checklist for completenessProject File Responsibility and Checklist –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 80

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 81

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 82

Consolidating Existing Files All existing project records (hardcopy and electronic) need consolidated into the main project file by December 31,

Consolidating Existing Files Electronic Files –Create a new folder directly under the main project folder using your Novell Windows login (ex: cfout) 84

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 85

Consolidating Existing Files All documents for future phases of the project will need to follow the new Project File Structure Project File Structure 86

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) 87

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 completeProject File Responsibility and Checklist 88

Records Management Activity 89

Clean Up Day September 24 th – File Cleaning Day 90

91 Records Management Pilot Questions/Discussion?