A Survey on the Status of Electronic Records Management in Texas Government (RESULTS)

 

Section 1

 

1.01

When were you appointed to the position of Records Management Officer (RMO)?

 

45.0% Before September 1, 1999

55.0% On or after September 1, 1999

1.02

Where is your position in the organizational hierarchy?

 

3.6%I am the executive director.

40.7%I report directly to the executive director (first tier).

30.0%I report directly to the deputy executive director or equivalent (second tier).

13.6%My supervisor reports to the deputy executive director or equivalent (third tier).

6.4%My supervisorís supervisor reports to the deputy executive director (fourth tier).

5.7%My position in the organizational hierarchy is below the fourth reporting tier.

1.03

The records management position is under what functional area of the organization?

 

50.7% Administration

10.7% Financial

4.3% Human Resources

8.6% Information Resources Management

2.1% Legal

0.0% Facilities Management

2.1% Executive

2.1% Public Information Office

17.9% Other ____(APPENDIX A)__________________________________

1.4% Agency does not have a records management program


1.04

What is your agencyís annual budget for the records management program (include salaries, storage costs, supplies, etc.)?

 

$ 106,908 (MEAN), $15,000 (MEDIAN)______________________________________

1.05

From the date of this survey, how long have you served as RMO with your present employer?

 

19.6% Less than one year

41.3% One to five years

21.7% Six to ten years

12.3% Eleven to fifteen years

5. 1% Sixteen years or more

1.06

a. What salary schedule does your job fall under?

 

13.6% Classification Salary Schedule A

86.4% Classification Salary Schedule B

0.0% Classification Salary Schedule C (law enforcement jobs at DPS, TDCJ, TABC, TPWD)

 

b. What is your salary group? (A2-A18 or B1-B22)

 

__(APPENDIX B)______________________________________

 

c. What is your class title? (Records Management Officer is NOT a class title)

 

__(APPENDIX C)_____________________________________

1.07

Where else have you worked in records management?

 

16.9% Other Texas state agency(ies) or university(ies)

4.9% Local Texas government entity(ies)

2.1% State or local government in another state

2.1% Federal government

8.5% Private business

3.5% Other _(Bar Association, Military, Private University)__________________________

64.8% No other places

1.08

What is your level of education?Check highest level achieved.

 

4.3% Graduation from high school or equivalent

21.7% Some college

6.5% Graduation from 2-year college or technical school

33.3% Graduation from 4-year college

26.1% Masters Degree

4.3% Doctoral Degree

3.6% Other__(JD)_______________________


1.09

How did you receive initial training in records management?Check all that apply.

 

77.5% On-the-job-training

2.8% Community college workshops

6.3% Semester-long college classes (community college or university)

16.9% 1-to-5 day seminars sponsored by professional organizations, e.q. ARMA

54.9% Classes from Texas State Library and Archives Commission (TSLAC)

23.9% E-Records Conferences sponsored by TSLAC and Dept. of Information Resources (DIR)

35.2% Self-study

18.3% TSLAC and/or DIR web sites

21.1% Records management web sites

5.6% Have not received records management training

1.10

Are you currently a Certified Records Manager (CRM)?

 

4.3% Yes

95.7% No

1.11

How have you kept yourself informed about electronic records management issues in the last year?
Check all that apply.

 

35.9% Attended free classes provided by the State and Local Records Management Division of TSLAC

32.4% Attended e-Records Conference sponsored by TSLAC and DIR

0.7% Attended community college or university classes in records management

48.6% Read newsletters from TSLAC

14.8% Attended local ARMA meetings

6.3% Attended national ARMA conferences

9.2% Attended local or regional ARMA conferences

6.3% Attended other regional or national electronic-records-related conferences

12.7% Met with vendors of electronic-records-related products

46.5% Read records management literature

38.0% Used TSLAC and/or DIR web sites

28.2% Used records management web sites

11.3% Other __(APPENDIX D)____________________________

12.7% None of the above

1.12

a. Are you a member of the Association of Records Managers and Administrators (ARMA)?

 

12.3% Yes

87.7% No

 

b. If you are a member of ARMA, does your employer pay for the membership?

 

10.3% Yes

0.8% No, my organization canít (wonít) pay

1.6% No, I choose to pay for it myself

87.3% N/A

1.13

a. In addition to records management, what other job functions do you have? Check all that apply.

 

4.9% None, records management is my sole responsibility

8.5% Librarian

8.5% Publications production

7.0% Web production

57.0% Administrative tasks

66.9% Other __(APPENDIX E)____________________________

 

b. If you have other responsibilities, what percentage of time do you spend on records management issues?

 

_13.64 % (MEAN), 5.0% (MEDIAN)

1.14

a. How many staff members work with you on records management?

 

Number of full-time staff 2.29 (MEAN), 1.0 (MEDIAN)

Percentage of time spent on records management 37.32% (MEAN), 10.00% (MEDIAN)

Number of part-time staff 1.14 (MEAN), 0.0 (MEDIAN)†††††††

Percentage of time spent on records management 26.96% (MEAN), 10.00% (MEDIAN)

Temporary employees 0.13 (MEAN), 0.0 (MEDIAN)

Percentage of time spent on records management 73.86% (MEAN), 100.00% (MEDIAN)

 

b. Do you supervise these employees?

 

70.1% Yes

19.6% No

10.3% Some, but not all

1.15

Is the records management program or the records management officer clearly identified in any of the following? Check all that apply.

 

18.3% Organizationís internal phone directory

5.6% Organizationís external phone directory

18.3% Organization chart

12.7% Organizationís web site

1.4% Lobby directory of organization units (departments)

9.2% Other __(APPENDIX F)___________________________

61.3% No

 

Section 2

The second set of questions asks about your knowledge of computer systems, your interaction with information technology staff, and your procedures or methods for managing electronic records.

2.01

Records management staff and information technology staff must be able to communicate with one another to develop an effective electronic records management program. How would you rate the knowledge levels of each group in your organization to the otherís specialty area?

 

 

No knowledge

Extensive knowledge

 

 

1

2

3

4

5

 

Records management staffís knowledge of information technology

2.2%

22.8%

42.6%

24.3%

8.1%

 

IT staffís knowledge of records management

8.8%

25.7%

40.4%

19.1%

5.9%

2.02

On average, how often do you meet with your agencyís information resources manager (IRM) or IT staff to discuss electronic records management issues?

 

6.0% Several times a week

8.2% Several times a month

27.6% Several times a year

6.7% Once a year

15.7% Only when there is a problem

20.1% Only when requested

15.7% Have never met with IRM or IT staff

2.03

Records management issues need to be addressed early in computer applications development. Do you participate in your agencyís initial planning and requirements-gathering process for the purchase or development of new and re-engineered information systems?

 

22.8% Always

14.7% Usually

34.6% Sometimes

27.9% Never

2.04

Do you feel your organization has given you the authority to manage electronic records in accordance with the organizationís retention schedule?

 

63.7%Yes

11.1% No

25.2% In some cases

2.05

a. Does your organization recognize the electronic copy as the official record copy for any record series in your retention schedule?

 

69.4% Yes

30.6% No

 

b. If yes, electronic record copies make up what percentage of the total number of record series in your organizationís retention schedule?

 

19.67% (MEAN), 10.00% (MEDIAN)

2.06

Check all of the environments in which your organization maintains official record copies.

 

30.3% Mainframe

67.6% Network file servers

57.7% Application and database servers

40.8% Imaging / document management system

49.3% User PC hard drives

51.4% Email servers

42.3% Web servers

87.3% Paper

43.7% Microform

21.8% Video formats

12.0% Film

23.2% Audio formats

11.3% Voicemail

27.5% Photographs

17.6% Maps

10.6% Geographic Information Systems

37.3% CD-ROM or laser disk

2.5% Other (blueprints, hard files, tape backups of all data files)

 

2.07

At what stage are you or your electronic records management program in the process of inventorying electronic records in the following environments?

 

 

Completed within past 2 years

In process

Within next 2 years

Not planning to inventory

N/A

 

Mainframe

11.9%

7.6%

11.0%

14.4%

55.1%

 

Network file servers

17.6%

20.0%

27.2%

16.8%

18.4%

 

Application and database servers

16.1%

19.4%

24.2%

17.7%

22.6%

 

Imaging / document management system

13.6%

19.2%

18.4%

15.2%

33.6%

 

User PC hard drive

12.2%

13.0%

20.3%

25.2%

29.3%

 

Email system

13.1%

16.4%

24.6%

27.9%

18.0%

 

Web servers

16.0%

15.1%

23.5%

23.5%

21.8%

2.08

At what stage are you in the process of developing an electronic records management program to ensure that records are managed according to your organizationís retention schedule?Select the most advanced stage.

 

 

 

 

 

Under Consideration

Planning

In process

Completed

Implemented

N/A

 

Written Policies

25.6%

20.0%

12.8%

8.8%

19.2%

13.6%

 

Written Procedures

25.8%

20.2%

14.5%

7.3%

17.7%

14.5%

 

Written Guidelines

25.6%

19.8%

15.7%

9. 1%

14.9%

14.9%

 

Training and/or education

25.6%

24.0%

19.8%

5.8%

7.4%

17.4%

 

Conducting risk assessment

35.6%

20.3%

18.6%

5.9%

0.8%

18.6%

 

Procedures for compliance checking

35.0%

26.5%

15.4%

2.6%

0.9%

19.7%

 

Systematic purging

30.3%

16.8%

16.8%

2.5%

11.8%

21.8%

 

Measuring cost savings/avoidance

37.4%

20.9%

13.9%

3.5%

0.9%

23.5%

2.09

What systems or techniques are you using or planning to use to improve your organizationís management of electronic records?Please select the most advanced stage at which you are using or planning to use the following.

 

 

Planning

In Process

Implemented

Using Regularly

N/A

 

Purchase of Electronic Records Management System

24.6%

3.5%

1.8%

2.6%

67.5%

 

Adoption of standard file-naming conventions

29.3%

9.5%

10.3%

8.6%

42.2%

 

Adoption of standard electronic directory structure

26.7%

12.1%

7.8%

6.9%

46.6%

 

Purchase of Imaging/document management system

14.7%

14.7%

16.4%

9.5%

44.8%

 

Development of a coordinated disposition program

28.9%

14.0%

12.3%

7.9%

36.8%

 

Development of migration plan to new technology

25.2%

16.5%

6.1%

1.7%

50.4%

 

Other (Developing Case Management System, No Funds for Other Purposes)

2.5%

2.5%

0.0%

0.0%

95.0%

 

 

 

 

 

 

 

 

 

2.10

Select the one description below that best fits your organizationís official policies or procedures for managing email records.

 

3.1% The electronic records management application automatically captures and files email.

0.0% End users select and send email to the records management application.

9.3% End users select and file email electronically in a shared network directory.

13.2% End users select and file email electronically in their personal computer hard drives.

20.9% End users select and file email electronically within the email system itself.

7.8% End users select, print, and file email in a central paper-based filing system.

5.4% End users select, print, and file email in a personal paper-based filing system.

22.5% End users have full discretion to manage email however they want.

12.4% Email does not contain official organization records.

5.4% Other (APPENDIXG)

2.11

In your organization, developing procedures for email management is primarily the responsibility of

 

26.9% The Records Management Officer

49.2% The Information Resources Manager

23.8% Other (APPENDIX H)

2.12

What value to your organizationís records management program would you place on using a trusted, statewide, centralized repository for email?

 

 

No Value

Great Value

 

I would need to know more about it before assigning a value

1

2

3

4

5

 

63.2%

18.0%

3.0%

4.5%

7.5%

3.8%

 

2.13

Current literature suggests that in order to manage electronic records effectively, archivists and records managers must have some knowledge of how automated systems process information. Records personnel must be able to evaluate the capability of automated systems to meet record keeping requirements. Rate your personal knowledge level of the information technology areas listed below.

 

 

No knowledge

Extensive knowledge

 

 

 

 

 

 

1

2

3

4

5

 

Information Systems Analysis

38.3%

24.8%

23.3%

9.0%

4.5%

 

Information Systems Design

42.1%

28.6%

17.3%

6.8%

5.3%

 

Data modeling

53.4%

24.1%

15.8%

3.0%

3.8%

 

Conceptual Model Building

54.9%

21.8%

15.8%

5.3%

2.3%

 

Data Dictionaries

54.9%

15.8%

15.8%

9.0%

4.5%

 

Metadata

58.6%

15.8%

15.8%

9.0%

0.8%

 

Electronic Document Management Systems

35.6%

28.8%

20.5%

10.6%

4.5%

 

Management Information Systems

36.8%

19.5%

23.3%

15.0%

5.3%

 

Online Transaction Processing Systems

46.2%

18.9%

21.2%

8.3%

5.3%

 

Database Management Systems

37.4%

19.8%

19.8%

19.1%

3.8%

 

Decision Support Systems

51.9%

26.0%

18.3%

3.1%

0.8%

†††††††††††††††

Data Warehouses

49.2%

20.8%

23.1%

4.6%

2.3%


Section 3

The third section of questions asks you to identify and rate challenges you face in managing electronic records in your organization.

3.01

 

 

 

 

 

 

 

 

 

 

 

On a scale of 1 to 5, with 1 being not very challenging and 5 being very challenging, rate the following issues to your capacity to manage your organizationís electronic records. Please base your answers on the circumstances and culture of your organization, not on electronic records management in general.

 

†† Low challenge††††††††††††††††††††††† High challenge††

 

1

2

3

4

5

N/A

1. Relating electronic information to the approved retention schedule

15.4%

18.5%

23.1%

27.7%

7.7%

7.7%

2.Organizing electronic information based on the approved retention schedule

10.0%

16.2%

23.1%

28.5%

13.8%

8.5%

3. Disposing of electronic information based on the approved retention schedule

12.3%

12.3%

26.2%

27.7%

13.1%

8.5%

4. Obtaining access to records in all information systems

16.2%

13.8%

23.8%

16.2%

20.8%

9.2%

5. Managing records for multiple operating systems; multiple versions of software

10.2%

12.6%

22.0%

25.2%

15.7%

14.2%

6. Managing records in diverse storage systems.

10.9%

10.2%

27.3%

21.1%

16.4%

14.1%

7. Managing and archiving web pages as records

12.5%

12.5%

19.5%

15.6%

22.7%

17.2%

8. Managing email as records

11.0%

18.1%

18.1%

12.6%

28.3%

11.8%

9. Managing records in database management systems

12.6%

19.7%

28.3%

17.3%

11.0%

11.0%

10. Managing records in transaction processing systems (e-commerce, etc.)

7.9%

13.5%

15.9%

19.0%

14.3%

29.4%

11. Obtaining adequate funding for an electronic records management program

3.9%

3.9%

6.3%

12.5%

57.8%

15.6%

12. Purchasing an electronic records management system

2.3%

1.6%

3.9%

10.9%

52.3%

28.9%

13. Gaining appropriate knowledge and/or training in electronic records management

11.7%

17.2%

29.7%

18.8%

16.4%

6.3%

14. Obtaining adequately trained or skilled records management staff

11.0%

15.7%

17.3%

22.0%

21.3%

12.6%

15. Raising priority of electronic records management within the organization

8.6%

5.5%

28.1%

25.8%

24.2%

7.8%

16. Obtaining executive-level support for electronic records management

19.5%

20.3%

24.2%

14.1%

12.5%

9.4%

17. Obtaining management-level support for electronic records management

15.6%

21.1%

29.7%

14.8%

10.2%

8.6%

18. Making management aware that records management requirements must be considered when the organization designs or augments electronic information systems

16.3%

15.5%

29.5%

16.3%

13.2%

9.3%

19. Gaining approval to participate in the information systems design process

19.5%

20.3%

22.7%

14.1%

10.9%

12.5%

20. Working with IT staff

28.9%

25.0%

20.3%

10.9%

7.8%

7.0%

21. Meeting Public Information Requests for electronic records in a timely manner

19.4%

25.6%

27.9%

9.3%

5.4%

12.4%

22. Clarifying organizational confusion between records management rules and the Public Information Act

15.5%

25.6%

25.6%

16.3%

7.0%

10.1%

23. Working within statewide electronic records management policies and rules

10.1%

22.5%

31.8%

15.5%

11.6%

8.5%

24. Meeting UETA requirements for records management

9.7%

11.3%

26.6%

14.5%

12.9%

25.0%

25. Meeting HIPPA requirements for records management

11.2%

12.0%

21.6%

16.8%

9.6%

28.8%

 


Section 4

Please add below any concerns or comments you may have about managing electronic records in your organization.

(APPENDIX I)

 

 

 

 

 

 

Section 5

Please provide the following information.

Using the number of full-time equivalent (FTE) employees as a measure, my organization is a

49.6% Small agency (100 FTEs or fewer)

29.3% Medium-sized agency (101 to 1000 FTEs)

9.8% Large agency (1001 FTEs or greater)

11.3% University

My organizationís location is

68.4% In Austin

25.6% In an urban area (other than Austin)

6.0% In a rural area

 

Thank you very much for completing the survey.Your input is vital for identifying how the state can best meet its electronic records management needs.