Archives and Records Management

Introduction/Background

Date of last assessment: October 2000

The Information Management functional area received an overall "Excellent” rating in the 2000 Annual Appraisal Performance Report. Archives and Records Management is one facet of Information Management, and individually received a rating of “Satisfactory,” primarily because the individual performance measures for Records Management were not jointly developed and approved until July 2000, and were developed to cover a sixteen month (or two assessment year) span.  

This report is a narrative summary of the effort made towards achieving the performance measures established and agreed to with DOE/OAK for FY 2000-2001, and are part of the larger IM effort to address customer satisfaction, cost efficiency and contract compliance.

Department Overview

Laboratory Mission

The Stanford Linear Accelerator Center (SLAC) is dedicated to experimental and theoretical research in elementary particle physics and in those fields that make use of its synchrotron radiation facilities, including biology, chemistry, geology, material science and electrical engineering.  This includes the development of new techniques in 1) particle acceleration and detection and 2) synchrotron radiation sources and associated instrumentation.  The center is operated as a national user facility for the Department of Energy by Stanford University.  

Organizational Mission

The Information Management functional area at SLAC supports the scientific mission of the Laboratory by providing a full range of services to the organization and all of its employees. We are responsible for Archives and Records Management services to the SLAC community. The Archives area is staffed by a full-time archivist and part-time assistant archivist; Records Management is a functional area within an administrative support position within Business Services.

 Identification of Self-Assessment Report Staff

Names, titles, affiliations of participants

Jean Deken, SLAC Archivist, Research Division

Karen Kruger, Records Manager, Business Services Division

 Scope of Self-Assessment

Status of Open Items from 2000 Review

As the specific performance measures were meant to cover two assessment years, progress on the measures agreed to in July 2000 carried over into FY 2001. As in the past, The Archives and History Office and Records Management continue to keep each other informed of their respective activities, and often work in tandem to meet customer needs.

Discussion of Individual Performance Objectives 

Performance Objective/Measure

The Information Management area functions as a resource to improve the quality of its services, to add value to scientific programs and customer services, and as a tool to improve work processes. IM services will be made available rapidly and cost effectively and will be made available to the public, industrial partners and stakeholders as appropriate. 

Assumptions:   For the purpose of this self-assessment, the IM functional area elements affected by this performance objective/measure are Archives and Records Management. Because many of our functions overlap, we believe it is most efficient and logical to combine the two areas into one self-appraisal. 

Process used to meet objective/measure: As stated in the introduction, goals were project-oriented and set for two years, FY00 and FY01. This self-assessment will present the continued progress that was made during FY01 towards revitalizing the Records Liaison program and identifying the record copies of engineering drawing databases.

Findings:   

Productivity Improvement:  

Work continued during FY01 on identifying the engineering drawing databases and revitalizing the Records Liaison program.  In meetings with the creators and custodians of the drawings databases, the various databases were identified and information gathered on how the drawings entered the system, their status, use, and retrieval capabilities.  When the “as built” drawings reach document control, they are transferred to microfilm and eventually transferred to the FRC. The electronic copies remain in the system and are backed up according to SLAC procedure. Because of the content of the drawings, the records will need to remain “active” as they are often referenced for building or equipment upgrades. The databases are the responsibility of the groups creating the information; Records Management involvement was to determine if there was a duplication of effort (which there does not appear to be), and to assure that the records, in whatever format, are maintained and when necessary, stored correctly.  

Services that Meet Customer Needs: 

Records Management and the Archives and History Office in July jointly presented an informational session for new and current Record Liaisons. The material presented was intended to reacquaint the liaisons of their record responsibilities to their particular areas as well as to the lab and DOE.  For both those new to the lab and as a refresher for others, we gave an overview of the function and purpose of Records Management and the Archives and History Office, and how we work both separately and jointly to preserve SLAC history and fulfill our records responsibilities.  Using the web, we directed the audience to the various records schedules, and explained their function and use. Brochures were distributed that delineate record responsibilities and provide the web addresses for the various sites discussed.  A question and answer period followed the meeting. 

To further enhance Records Management visibility and provide assistant to the Record Liaisons, work is in progress to create a Records Management web page separate from, but linked to, the Archives and History Office website. The website should be finished within the next few months. Since the meeting, a few groups have requested individual assistance with their records issues and RM and AO have responded accordingly.  As usual, RM and AO have worked closely to provide records and archiving help as needed, most often on an “as requested” basis on issues concerning the transfer to and recall of records with the FRC.   

Overall Performance

Customer satisfaction: Archives and History and Records Management continue to work towards meeting the needs of our customers by responding in a timely manner to address any record concerns. The presentation to the RLs and the identification of the drawings databases allowed us to increase our visibility and remind some of our customers of our function and responsibility.  With the completion of the new web page, we hope to continue to expand our visibility and make the SLAC community more aware of our presence and availability to help with records issues. It is important to us that we continue to meet personally with our customers to discuss any issues and resolve and record or archives problems on an as needed basis, and use the Web pages as an enhancement, not a replacement, for personal service.

 Problem Analysis

Root-Cause Analysis

The major barriers to remain  is the lack of financial and manpower resources, as well as time. With budgets expected to be tightened, there is most likely no immediate help in sight. However, we will continue to use the resources available to address records issues as they arise. It is hoped that by continuing to provide the RLs and the lab with information and resources on records issues, the RLs can become more knowledgeable about the schedules and their application, and then check with RM and AO for concurrence. 

Barrier(s) to Improvement 

Outside of resource restraints, there are no major barriers.

Improvement Action Plan/Goals 

Goals for FY2002

1. Complete website for Records Management.

2. Complete agreed-upon Performance Measures for FY 2002

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For Questions or comments, Please contact Ziba Mahdavi, Last Updated 10/24/00