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RM101: An Introduction to Records Management
Presentation for the Department of Human ServicesAugust 2004
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Today’s presentation
• Part of an ongoing RM project • Informal• Opportunity to share information, raise
questions, identify options• More opportunities: meetings, listserv,
web site
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Material to cover
• Legal framework• Records management practices• Information technology and electronic
records management issues• Tools and resources
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Legal framework (1)
• Data Practices Act (Ch. 13)• Health Insurance Portability and
Accountability Act, Privacy Rule
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Legal framework (2)
• MN information policy statutes (15.17, 138.163-138.225)
• Uniform Electronic Transactions Act• Electronic Signatures in Global and
National Commerce Act• E-Government Act of 2002
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What is a government record?“Government records" means state and local records, including all cards, correspondence, discs, maps, memoranda, microfilms, papers, photographs, recordings, reports, tapes, writings, optical disks, and other data, information, or documentary material, regardless of physical form or characteristics, storage media or conditions of use, made or received by an officer or agency of the state and an officer or agency of a county, city, town, school district, municipal subdivision or corporation or other public authority or political entity within the state pursuant to state law or in connection with the transaction of public business by an officer or agency.
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Basic considerations
• Comprehensive definition• Transaction of public business• Everything’s discoverable• Any medium or format• Legal, administrative, fiscal or historical
value
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Official Records Act: M.S. 15.17
• Requires public officials and their agencies to make and preserve all records necessary to a full and accurate knowledge of their official activities.
• Government records defined in an all-inclusive manner.
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Records Mgmt. Act: M.S. 138.17
• No records disposition without authorization
• Records disposition panel• One-time only authorization or records
retention schedules• All-inclusive definition of records
underscored
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Who is involved?
• Agency chief administrative officer• Every government employee• Information Policy Analysis Division,
Dept. of Administration• Records disposition panel• State Archives
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Basic tools
• Preserving and disposing of government records
• State Archives web site • Application for the authority to dispose
of records (PR-1)• Approved agency records retention
schedule• General records retention schedule
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What me worry?
• Routine designed for paper – transition to e-government
• Horror stories: privacy, identity theft, legal catastrophes
• “Good cases make bad law”• Costs of compliance• Lack of knowledge and experience
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NARA study results
• What’s a record?• Few recordkeeping cultures• Many recordkeeping lapses• No plan for electronic records• Business needs drive recordkeeping
(e.g., legal risks, case files, agency tradition)
http://www.archives.gov/records_management/initiatives/report_on_recordkeeping_practices.html
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E-recordkeeping challenges
• Paper-based practices• Volatile technologies, unstable media• Public perception: privacy and
accountability• Costs: increasing demands, decreasing
resources• Legal uncertainties• No one-size-fits-all solutions• Steep learning curves and resistance
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E-recordkeeping opportunities
• New services and products • E-government• Convergence on the Web • Cost-effective and efficient solutions • Much greater use value• Return on investment - information as
an asset
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Definition of electronic record
Information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form. An object created, generated, sent, communicated, received, or stored by electronic means.
- Uniform Electronic Transactions Act
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Some issues to consider (1)
• Legal admissibility• Discovery• Privacy and security• Access• Costs• Governance
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Some issues to consider (2)
• Official record? Paper? Electronic?• Email• Web content• Signatures• Storage• Description
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A working strategy
• Legal framework• Stakeholders and partners• Program goals and priorities• Management roles and procedures • Educational system• Tools and technologies
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Some ideas that will help
• Information as an asset• Risk management• Priorities: the general schedule, unique
records and functions• Standards and architectures• Collaboration
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End of the rainbow
• Documented systems• Cost-effective systems• Trustworthy records• Complete records• Accessible records• Durable records
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State Archives products
• Trustworthy Information Systems Handbook
• Electronic Records Management Guidelines
• XML and metadata workshops and standards
• Project expertise (e.g., ERER, PAT)
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Resources• Project web site
http://www.mnhs.org/dhs• State Archives web site
http://www.mnhs.org/preserve/records• Preserving and Disposing of
Government Recordshttp://www.ipad.state.mn.us/records2.html
• MN’s enterprise architecturehttp://www.ot.state.mn.us/
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Questions?
Bob Horton651 215 5866, [email protected]
Maria Plonski651 297 1261, [email protected] Rodgers
651 297 2344 [email protected] Rounds
651 296 7953 [email protected]