basics of records management - frma of records management... · • property • rights • restore...
TRANSCRIPT
Agenda
• What and Why of RM
• Responsibilities
• How records are managed
• Challenges of electronic records
• Electronic Records
• Break!
• Records Inventory
• Records Schedules
• Disposition of Public Records
• Evaluation
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The Florida Department of State Records
Management Program • Chapter 257, F.S.
• The Florida Administrative Code
• Rule 1B-26
• Rule 1B-24
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Florida DOS
Records
Management
• Technical assistance
850-245-6750
• Establish record retention schedules
• Operate the State Records Center
• Provide record management seminars
Program
Services
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Records Management Liaison Officer
“RMLO”
It is the duty of each agency to…designate a
records management liaison officer.”
Section 257.36(5)(a), F.S.
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Agency Records Custodian
“Custodian of Public Records” means the elected or
appointed state, county, or municipal officer charged with
the responsibility of maintaining the office having public
records, or his or her designee.
Section 119.011(5), F.S.
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What is a record?
• Any documentary material that shows a transaction or
activity
• Records can exist in any format
Electronic documents, microform, photographs, sound recordings
What makes it a public record = the information it contains
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Definition of a Public Record
All documents, papers, letters, maps, books, tapes,
photographs, films, sound recordings, data processing
software, or other material, regardless of the physical form,
characteristics, or means of transmission, made or
received pursuant to law or ordinance or in connection with
the transaction of official business by any agency.
F.S. 119.011(12)
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Public Records
Public Record
Non Public Records
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Why Records Matter
• Are critical to the proper functioning of all government
agencies
• Contain information needed to conduct daily business
• Ensure government’s ability to answer to the people
• Financial records = tax payers and money spent
• Meeting minutes = decisions and actions taken
• Records protect:
• Life
• Property
• Rights
• Restore order
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What is Records Management?
• It is the process of maintaining information in a way that
allows you to get what you need, when you need it
• Secure
• Preserve
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Elements/ Activities of a RM Program
• Obtain strong policy and financial support
• Develop policies
• Put in place filing and indexing systems
• Conduct an inventory
• Establish and follow retention schedules
• Identifying and using technology appropriately
• Storing inactive records in a cost effective and secure
manner
• Disposition and obsolete records
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Benefits of a RM Program
• Records management is not optional (S. 257, F.S.)
• Locating what you need when you need it
• Reducing the volume
• Improving storage and retrieval systems
• Increasing the efficiency of office operations
• Reducing costs for equipment, supplies, space, and
personnel
• Improving customer relations
• Improving government accountability for public funds
• Reducing liability risks
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Problems of Poor RM
• Not being able to perform/ mission
• Public suspicion of government officials
• Financial costs of:
• Time and resources to re-create
• Penalties imposed by courts
• Inability to respond to special requests
• Improperly disposing
• Accidental disclosure
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Responsibilities and Terminology
• Duties of a record manager:
• Compiling inventories
• Determining how long each type of record should be retained
• Identify essential records
• Duties of Information Technology (IT)
• Coordinating with records management to ensure records in
information systems remain accessible throughout the retention
period
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Trustworthiness
1) Records provide evidence agencies have met their
obligations to the public
2) Records are used as proof of activity
• Authentic
• Reliable
• Not deceptive
• Free from tampering
• Handled correctly throughout it’s life
• Security never compromised
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How are Records Managed?
• Overview:
• 1) Define a public record
• 2) Life cycle
• 3) Active vs. Inactive records
• 4) Tools to manage
• 5) Identify requirements
• 6) Challenges of managing electronic records
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Define a Public Record (continued)
• An important aspect of the definition is “regardless of
physical form, characteristics, or means of transmission”
• What are some types of formats?
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Electronic Records
• What are some examples of electronic records?
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Challenges of Managing Electronic
Records • Software dependency
• Sustainability
• Limitations to the life of the media
• Data migration
• Sharing
• Security
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Record-Keeping Requirements
Ensure documentation that is:
Complete – documents entire transaction
Consistent – across all offices
Concise – only necessary documentation is included
Compliant – meets statutory & state rules/requirements
Cost effective – records are maintained in an efficient and
effective manner.
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A Public Record is Not Always Open
• A Common Mistake:
• Some records are exempt from disclosure, but
they are still public records.
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Creation
Utilization
Maintenance
Retention Preservatio
n
Storage
Disposition
Record
Life Cycle
H.A.L.F.
HISTORICAL
A
L
F
HISTORICAL
ADMINISTRATIVE
L
F
HISTORICAL
ADMINISTRATIVE
LEGAL
F
HISTORICAL
ADMINISTRATIVE
LEGAL
FISCAL
Record Value – Examples
Historical Administrative
Legal Fiscal
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Active v. Inactive Records
Active Records
• Used more than once a
month
• Should be stored on-site
Inactive Records
• Used less than once a
month
• Should be stored in a
records storage facility
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Record Series, as defined by Rule 1B-24, F.A.C.
“Record series” means a group of related public records
arranged under a single filing arrangement or kept together
as a unit (physically or intellectually) because they consist
of the same form, relate to the same subject or function,
result from the same activity, document a specific type of
transaction, or have some other relationship arising from
their creation, receipt, or use. A record series might contain
records in a variety of forms and formats that document a
particular program, function, or activity of the agency.”
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Record Series
A record series is a group of related documents that work
together to help an agency perform a particular function.
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Records Inventory
A records inventory is a survey that asks..
• What do you have
• How and where they are maintained
• Non-record materials
• Essential/ Vital records
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Elements of a Record Inventory
• Records series title
• Description
• Inclusive dates
• Types of formats
• Identify your essential records (vital)
• Physical location
• Volume
• Retention requirements (if known)
• Record copy (master) or duplicate copy
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Record Copy
Record Copy
• Public records designated by the agency custodian as the official
record
• If there is only one copy in existence, that will be the record copy
regardless of whether the agency designated another copy as the
master/record copy
Duplicates
• Reproductions that are not designated as the official record
• Duplicates are public records and their retention requirement is
“OSA”
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Did You Know?
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Did You Know? 80% of the records in our offices are
duplicates. It is important that
everyone is aware of the retention
requirements!
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OSA
Obsolete, Superseded, Administrative
Value lost “OSA” • Do not have legal, fiscal, or historical value.
• Duplicates are “OSA”
• Transitory messages are “OSA”
• “OSA” records do not have to be documented when
disposed
• “OSA” records should be disposed of as soon as they are
no longer needed
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Records Retention Schedule
• Schedule Number
• Title
• Description
• Retention Period
• Date effective
• Name of agency or department
• Method of disposition or preservation
• Special instructions
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Adhere to Retention Schedules
“A public record may only be destroyed or otherwise
disposed of only in accordance with retention schedules
established by the Division (of Library and Information
Services, Florida Department of State, Records
Management Program).”
Section 257.36(6), F.S.
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Record Retention Schedules
General Schedules
• Establishes retention for common records
• Are established by the Florida Department of State
• Cover up to 75-80%
Individual Schedules
• Establishes retention requirements unique to a specific agency
only.
• Are approved and established by the Florida Department of State
• Cover 20-25%
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General Records Schedules
“General Records Schedules” means retention
requirements established by the Division for public records
common to all agencies or specific types of agencies within
the State of Florida indicating the minimum time such
records must be kept.
Rule 1B-24.001(3)(g), F.A.C.
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General Schedules
GS1-SL State and Local Government Agencies
GS2 Law Enforcement, Correctional Facilities, and District Medical Examiners
GS3 Election Records
GS4 Public Hospitals, Health Care Facilities, and Medical Providers
GS5 Universities and Community Colleges
GS6 Building and Zoning (incorporated into GS1-SL)
GS7 Public Schools, Pre-K – 12, Adult and Vocational/ Technical
GS8 Fire Departments
GS9 State Attorneys
GS10 Public Defenders
GS11 Clerk of the Court
GS12 Property Appraisers
GS13 Tax Collectors
GS14 Public Utilities
GS15 Public Libraries
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How to use a General Schedule?
• Record Series title
• Item number
• Description
• Retention (1 and 2), minimum!
• Anniversary, Calendar, Fiscal, Triggering, Permanent
• Archival Value
• HELP!
• Index
• Functional listing
• Alphabetical order
• Item number
• Introduction
• Contact DOS
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Individual Schedules
If there is no applicable general schedule, the RMLO will
need to submit a Request for Records Retention Schedule
to the Division of Library and Information Services for
approval.
This form is available on their website!
http://dlis.dos.state.fl.us/recordsmgmt/publications.cfm
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Individual Record Retention Schedules
Call 850-245-6745
•Call or email for any questions about
submitting forms
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Disposition
• Documentation is required by Rule 1B-24.003(9)(d),
F.A.C.
• Agencies must retain records disposition documentation
permanently.
• This information must include:
• Records Schedule number
• Item number
• Record Series title
• Inclusive dates
• Volume
• Method of disposition AND date of disposition!
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Disposition
Agencies are not required to document the disposition of
records with a retention of “Retain until obsolete,
superseded, or administrative value is lost” (OSA) except
for records that have been microfilmed or scanned as part
of a retrospective conversion project in accordance with
Rules 1B-26.0021 or 1B-26.003, F.A.C., where the
microfilm or electronic version will serve as the record
(master) copy.
Rule 1B-24.003(9)(d), F.A.C.
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Reasons not to destroy records
• Active or anticipated litigation
• Audit pending
• Public record request within the last 30 days
• Administrative need
• Historical value
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How do I destroy records?
Agencies shall ensure that all destruction of records is conducted in a manner that safeguards the interests of the state and the safety, security, and privacy of individuals. In destroying records containing information that is confidential or exempt from disclosure, agencies shall employ destruction methods that prevent unauthorized access to or use of the information and ensure that the information cannot practicably be read, reconstructed, or recovered. The agency shall specify the manner of destruction of such records when documenting disposition. Where possible, recycling following destruction is encouraged.
Rule 1B-24.003(1), F.A.C.
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How do I destroy records?
For paper records containing information that is confidential
or exempt from disclosure, appropriate destruction
methods including burning in an industrial incineration
facility, pulping, pulverizing, shredding, or macerating. High
wet strength paper, paper mylar, durable-medium paper
substitute, or similar water repellant papers are not
sufficiently destroyed by pulping and require other methods
such as shredding or burning.
Rule 1B-24.003(10)(a), F.A.C.
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How do I destroy records?
For electronic records containing information that is confidential or exempt from disclosure, appropriate destruction methods include physical destruction of storage media such as by shredding, crushing, or incineration; high-level overwriting that renders the data unrecoverable; or degaussing/demagnetizing.
For other non-paper media containing information that is confidential or exempt from disclosure, such as audio tape, video tape, microforms, photographic films, etc., appropriate destruction methods include pulverizing, shredding, and chemical decomposition/ recycling.
Agencies shall not bury confidential or exempt records since burying does not ensure complete destruction or prevent unauthorized access.
Rule 1B-24.003(10)(b-d)., F.A.C.
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Alternatives for Long-Term or Permanent
Records Section 92.29, Florida Statues: Photographic or electronic
copies.
Photographic reproductions or reproductions through electronic
recordkeeping systems…shall in all cases and in all courts and
places be admitted and received as evidence with a like force and
effect as the original would be, whether the original record,
document, paper, or instrument in writing or in an electronic
recordkeeping system is in existence or not.
Rule 1B-26.003, F.A.C. Electronic Recordkeeping
Rule 1B-26.0021, F.A.C. Microfilm Standards
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Untimely Disposals
Common Reasons include: • Natural, technological or civil emergencies/ disasters
• Poor storage
• Human error
• Hurricanes, flooding, fires, and other natural disasters
• Technological failure
What to do?
• Contact the records custodian immediately
• Document the disposition
• Record the even as much as possible
• Video
• Photographs
• Statements
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Annual Compliance Statement
• The Department of State Records Management Program
mails out to all public agencies each November. Please
return by December 31.
• One total for all records destroyed during the fiscal year.
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Assistance
• The First Amendment Foundation of Florida
• The Florida Attorney General
• The Florida Department of State
• FRMA
• ARMA (Florida Chapters)
• The Society of Florida Archivists
• The Council of State Archivists – Florida IPER
• Private Consultants
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Quick Facts
85% of documents filed are never retrieved. (ZyLAB 2001)
At least 50% of documents are duplicated in filing systems.
60% of files moved to storage facilities should be destroyed
instead.
Only 20% of administrative time is spent filing and
retrieving important documents.
Quick Facts
Costs of Records:
$20.00 to file each document
$1.50 to retrieve each document
• The cost to correctly file 19 out of 20 documents is
$380.00
• The average office loses 1 out of 20 office documents. It then costs $120.00 to search for the document; if the document must be recreated it costs $250.00;
so… one lost document = $370.00!
• The typical file grows at the rate of more than 20% annually.
Quick Facts
• Costs:
Filing cabinet cost - $150 (and up)
Floor space - $90 (6 sq. ft. x $15 per year)
Cost of Filing - $900 (15,000 pages in cabinet, assume clerk can file 200 pages/hour at $12 per hour)
COST TO CREATE FILE CABINET = $1140
Quick Facts
• In most organizations:
• 5% of its files are misplaced
• 2% of its files are lost and must be recreated
• Employees typically spend from 30 minutes to 2 hours daily searching for paper documents.
• 10% of an executive’s time is spend searching for files and documents.
Ideas for Training
Establish an Annual “Purge Day”
Work with departments
Make it fun - Offer Prizes -- Filing supplies?
Don’t forget: Computer Hard Drives
Email Files
