![Page 1: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/1.jpg)
RECORDS & INFORMATION MANAGEMENT 101
Donna Read, CRM, CDIA+Florida Gulf Coast ARMA ChapterSeptember 20, 2016www.fgcarma.org
![Page 2: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/2.jpg)
WHY DO WE CARE ABOUT RIM?
Records are essential to protecting life Medical records allow doctors to treat patients
safely and effectively
Maps and floor plans allow rescue workers to locate victims of disasters
Infrastructure records showing locations of utility lines keep rescue workers safe
Construction records help engineersassess damage to bridges, tunnels,levees
![Page 3: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/3.jpg)
WE CARE BECAUSE…..
Records are essential to protecting property Plats, deeds, and mortgage records establish
ownership of real property
Insurance records help owners recover losses
Probate records and wills prove inheritance
Bank records verify financial assets
Divorce records include property distribution
![Page 4: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/4.jpg)
RECORDS ARE ABOUT US…..
Records are essential to protecting rights School records document educational
attainment
Adoption records establish parental rights
Military service and employment records provide access to pensions and other benefits
Guardianship records protect those who cannot speak for themselves
![Page 5: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/5.jpg)
BUSINESS NEEDS RECORDS TO FUNCTION
Records are essential to restoring order and resuming operations following a disaster
Businesses need proof of assets, liabilities, contracts, and other legal obligations
Governments need documentation of decisions, regulations, precedents, and lines of succession and authority
Individuals need proof of identity, medical histories, and documentation of assets
Communities need historical records to retain a sense of continuity with the past on which to build a future
![Page 6: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/6.jpg)
DEFINTION OF RECORDS MANAGEMENT
RM is the planning, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance and use, and disposition of records to achieve adequate and proper documentation of an organization’s policies and transactions, and effective and economical management of operations.
In two words
Operational Efficiency
![Page 7: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/7.jpg)
FEDERAL DEFINITION OF A RECORD
“…all books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an organization in connection with the transaction of business and preserved or appropriate for preservation by that organization or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities because of informational value of the data in them.” U.S.C. 3301
![Page 8: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/8.jpg)
WHAT IS A RECORD – ARMA INTERNATIONAL
A record is recorded information that supports the activity of the business or organization that created it. It can take the form of:
paper documents such as a hand-written memo or a hardcopy report
electronic records such as databases or e-mail
graphic images such as drawings or maps; these may be in photographic, electronic, or hard-copy formats
![Page 9: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/9.jpg)
WHAT IS A RECORD?
Donna’s 3-prong test
1 – Was a record created? - Conversation in the hall is not a record unless you create a record.
2 - Was the record created in the course of business? - Email discussion about the classic car for sale at the corner is not a Federal record.
3 - Was there any evidential or informational value in the document? – Email indicating that the meeting was moved to a new conference room has no inherent value.
9
![Page 10: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/10.jpg)
CATEGORIES OF RECORDS
Program vs.Administrative Records
Permanent vs. Temporary
![Page 11: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/11.jpg)
TMI
• More processing power in an iPhone 5S than in the computer that landed Apollo 11 on the moon in 1969.
• 1990 – one million people owned a mobile phone – today, estimated six billion phones are in use.
• Humans will create more data (documents, email, text messages, social media postings, etc.) in the next 48 hours than was created in all of recorded history up until the year 2003.
• 300 hours of video is uploaded to YouTube every minute, 24 hours a day, 365 days a year.
11
![Page 12: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/12.jpg)
PROGRAM RECORDS - UNIQUE
Program records are the records that directly support the mission of the organization.
KFC cares about it’s secret recipe of 11 herbs and spices (part of the KFC mission)
KSC cares about putting orbiters into space –launch codes (part of the NASA mission)
SWFWMD cares about managing water in SW Florida district – maps of wetlands (their reason for existence)
![Page 13: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/13.jpg)
ADMINISTRATIVE RECORDS
Administrative records are the records created in performing common facilitative functions that support the mission activities, but do not directly document the performance of mission functions.
Administrative records relate to budget, finance, human resources, equipment and supplies, facilities, contracting, etc.
![Page 14: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/14.jpg)
EXAMPLES OF ADMINISTRATIVE RECORDS
Purchase orderPersonnel filesTravel authorizations and
vouchersPayroll databasesNetwork backup tapesBuilding utility diagrams
![Page 15: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/15.jpg)
PERMANENT OR TEMPORARY
Permanent really means you are going to keep it forever, and ever, and ever…….Better be the good stuff that really
matters
Temporary means you get to get rid of it, eventually….Better be sure you are making the right
decision, you only get to destroy it once
![Page 16: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/16.jpg)
RECORDS LIFECYCLE
Creation/Receipt
Maintenanceand Use
Disposition
Permanent (1–3%)
to Archives
Temporary (95–98%)Destroyed
Creation/Receipt
Maintenanceand Use
Disposition
Permanent (2–5%)
to Archives
Temporary (95–98%)Destroyed
![Page 17: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/17.jpg)
RECORDS TERMS
Records Series – like items grouped together (you don’t put finance records with personnel records)
Records Retention Schedule or Disposition Schedule – listing of all records series, descriptions and retention requirements
File Plan – subset of your retention schedule but geared to your area of responsibility
![Page 18: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/18.jpg)
SAMPLE FILE PLAN
![Page 19: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/19.jpg)
IS EVERYTHING A RECORD? - NO
Records
Personal papers
Business information
![Page 20: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/20.jpg)
![Page 21: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/21.jpg)
ELEMENTS OF A COMPLETE RECORD
CONTENT – WHAT IS IN IT
CONTEXT – WHAT IS AROUND IT
STRUCTURE – WHAT DOES IT LOOK LIKE
BEHAVIOR – HOW DOES IT ACT
![Page 22: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/22.jpg)
PERSONAL PAPERS AT WORK??
Stuff you get to take with you when you leave the organization
Awards you have received
Reference materials you accumulated prior to your current position
Copies of personnel related documents
Private or nonpublic in character
![Page 23: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/23.jpg)
BUSINESS INFORMATION THAT IS CONSIDERED A NON-RECORD Convenience copies used only for reference
Stocks of publications, handbooks, manuals, maps, etc.
Library or museum materials used for exhibition purposes (not the same as evidence exhibits)
Copies of directives, forms, or correspondence that does not require action, or not needed to document program activities
![Page 24: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/24.jpg)
FORMATS AND MEDIUM MATTER, BUT……………TECHNOLOGY OBSOLESCENCE ROLLS OVER BOTH OF THEM!
These same principles and basics of RM101 need to be applied to records in all formats and medium.
Hard copy (paper/textual) Electronic versions Systems that hold records Records on the Cloud Email, and social media tools Collaborative tools Data pools
![Page 25: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/25.jpg)
THE 8 PRINCIPLES OF RECORDS MANAGEMENT ARMA
Principle of Accountability
Principle of Transparency
Principle of Integrity
Principle of Protection
Principle of Compliance
Principle of Availability
Principle of Retention
Principle of Disposition
![Page 26: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/26.jpg)
SUMMARY
We care about records and information because it affects our lives
Records Management is a defined job Records have a lifecycle Records have categories (program vs
administrative, and temporary vs permanent) Records terminology means something Format & medium matter – but watch out 8 Principles of Records Management
![Page 27: Donna Read, CRM, CDIA+ Florida Gulf Coast ARMA Chapter ...fgcarma.org/web/wp-content/uploads/2016/09/Records... · Florida Gulf Coast ARMA Chapter September 20, ... KFC cares about](https://reader031.vdocuments.us/reader031/viewer/2022030501/5aae34367f8b9a3a038bd965/html5/thumbnails/27.jpg)
THE ENDDonna Read, CRM, CDIA+
Senior Records AnalystRead Incorporated
www.fgcarma.org
Oil by DLRead