CRM Prep WorkshopPart 4

Records Appraisal, Retention, Protection and

Disposition

Part 4 – Records Appraisal, Retention, Protection, and Disposition

• Basic Concepts• Records Inventory• Records Appraisal• Retention Schedules• Vital Records Program• Business Continuity• Archives

Part 4• Basic Concepts

– Definitions• Definition of a record• Concept of a record series

– Records Media and Records Content• Advantages and Disadvantages using various

media– Record Life-Cycle Management

• Stages of the life cycle• Migration of information throughout the life cycle

Records Inventory• Definitions and Objectives

– Concepts, processes and procedures– Volume, scope, location and complexity of an

organization’s records– Relationship between the records inventory, the

retention schedule and vital records

• Planning the Inventory– Activities involved– Level of commitment from top management– Establishing work schedules, project staffing– Advantages/disadvantages of various methods

Records Inventory• Methods for Data Collection

– Comparison of various methods used to collect inventory data

• Types of Data Collected– Review items collected during the inventory– Understand the usage of data from the inventory

• Analysis of Data Collected– How the data collected is used to prepare

retention schedules, develop policies and other aspects of a RIM program

Records Appraisal

• Definitions and objectives– General or functional schedules– Departmental schedules

• Appraisal Values– Operational– Administrative– Fiscal– Legal– Research– Archival

Retention Schedules

• Definitions and objectives

• Schedule considerations

• Life-cycle Milestones– Stages of lifecycle and how the schedule

addresses these stages

• Approvals

• Publication and distribution

Schedule Implementation and Administration

• Promotion, support and training

• Applying schedules (the 30/30/40 rule)

• Destruction methods and controls

• Schedule maintenance and revisions

• Audits

Vital Records Program

• Definitions and objectives

• Identification of vital records– Benefits of protection– How to identify vital records

• Risk Analysis– Estimates on disaster potential– Consequences of information loss– Cost/benefit analysis

Vital Records Program

• Protection Methods– Understand the various methods– Built-in vs. improvised dispersal– Onsite and remote storage– Storage equipment

• Operating Procedures– Operations and procedures– Testing the program

• Audits

Business Continuity• Definitions and objectives• Planning

– Classification of the types of potential disasters– Responsibilities for preparedness– Developing and plan for reconstruction of vital

records– How to assign responsibilities

• Implementation procedures– Scope of authority– Salvage procedures– Necessary equipment

Classification of Disasters

• Class 1 –Most severe conceivable• Class 2 – Severe natural disaster• Class 3 – Destruction of a major building

during working hours.• Class 4 – Destruction of a major building

during non-working hours.• Class 5 – One or two functions of an

organization are affected.• Class 6 – Subfunction affected.• Class 7 – Lost document.

Archives

• Definitions and Objectives• Appraisal for Value

– Terminology: archival, historical, research, intrinsic, evidential and information values

• Arrangement, Description and Use– Purpose of an archive– Archival storage technologies– Locating systems and finding aids– Provenance and original order– Restrictions for use

Archives

• Conservation and Preservation of Archival Materials– Compare various techniques for conservation

and preservation

• Media Hardware/Software Considerations– Migration information– Media stability– Hardware and software availability

Archives

• Environmental Controls– Controls necessary for preservation– Describe specifications for building

construction, safety, temperature controls, and humidity controls

• Types of Archives– Manuscript collection– Public Archives– Private Archives