managing your information
DESCRIPTION
A short training presentation on information management (IM) best practices, with an emphasis on records management.TRANSCRIPT
Managing Your Information
A How-To Guide for Records & Information Management
Agenda
1. Introduction: What is Information Management?
2. Legislation, Regulations & Policies3. Roles and Responsibilities4. Is it Archival? Understanding Record Series
• Government Common Series for Policy Records5. Final Disposition Notification
• On-site records destruction – the right way!6. Electronic Records Management7. Information Security8. RIM Auditability: Keeping Track of Your
Records
What do we think of when we think of records management?
Keeping Records is
not my responsibility
Keeping Records is
not my responsibility
Records Management is
obsolete, now that we only create
digital documents.
Records Management is
obsolete, now that we only create
digital documents.
Records Management is a
chore. It takes time that I could be using for core
business
Records Management is a
chore. It takes time that I could be using for core
business
Records Management is a waste of
time
Records Management is a waste of
time
We only create records for legal
reasons
We only create records for legal
reasons
Records Management is
boring, why would I want to do that
when my real work is more interesting
and more important?
Records Management is
boring, why would I want to do that
when my real work is more interesting
and more important?
Records vs Information Management?
What is a record?
As defined by the Archives and Recordkeeping Act, 2006 (ARA):
It can take the form of:
• Paper documents (handwritten notes, printed reports
• Electronic records (e.g. databases, email)
• Graphic images (e.g. drawings, maps, photos)
It can take the form of:
• Paper documents (handwritten notes, printed reports
• Electronic records (e.g. databases, email)
• Graphic images (e.g. drawings, maps, photos)
A record is recorded information that supports the activity of the business or
organization that created it.
A record is recorded information that supports the activity of the business or
organization that created it.
Transitory Records
Transitory Records are records that have only minimal significance and generally need to be kept for short periods of time.
They do not include records required by the government to support operational or decision-making activities, or to support government accountability.
Transitory records are scheduled by the Government Common Transitory Records Series.
Records Lifecycle
Trends in IM
Shifting the focus from control to access
Empower people by making their information available and accessible
Empower people to meet their informational needs
Ease of Use, Ease of Integration Using the right tools to manage our
information
Legislation and Directives
Archives and Recordkeeping Act, 2006 (ARA)
Freedom of Information and Protection of Privacy Act
Electronic Commerce Act Personal Health Information Protection Act Canada Evidence Act & Evidence Act
(Ontario)
Why keep records?
Necessary for conducting the daily business of government, documenting decisions, transactions and activities; rights, privileges and obligations
Fosters government accountability and transparency
Safeguards vital information
Preserves information for the benefit of present and future generations
Archives and Recordkeeping Act, 2006 (ARA)
“to foster government accountability and transparency by promoting and facilitating good recordkeeping by public bodies.”
“to ensure that the public records of Ontario are managed, kept and preserved in a usable form for the benefit of present and future generations.”
“to encourage the public use of Ontario’s archival records as a vital resource for studying and interpreting the history of the province.”
IM Policy Renewal Project
OPS IM Policies,
Standards and
Directives
PROPOSEDCURRENT
Recordkeeping Obligations of MTO
Develop records series for all program areas.
Retain and transfer or otherwise dispose of records in accordance with approved records series.
Ensure that records are preserved and that the information in public records is accessible
What Not to do
Unless in accordance with an approved records series or as approved by the Archivist of Ontario, we may not:
Destroy or damage a record Alter a record so as to delete information from it Make a record illegible Remove a record from their custody or control Conceal a record from a public body or the Archivist of
Ontario. 2006, c. 34, Sched. A, s. 15 (1).
Consequences
If not managed effectively, records can cost the organization time and money, as well as open the door to the risk of litigation or exposure.
There are consequences
Roles & Responsibilities for Everyone
Establish and monitor accountability for managing information, eliminating the guesswork of who does what and when
Ensure that the recordkeeping system provides reliable access to your records
Know where to find resources for recordkeeping policies, procedures, guidelines
Roles & Responsibilities for Managers
Ensure that all information under your immediate custody and control is-
Ensure that there is no unnecessary collection and maintenance of information
Organized and stored securely to protect it from physical damage and from unauthorized access, alteration, removal or destruction
Managed by approved records series that are continuously implemented
Roles & Responsibilities for RIM Office
Provide records management information consultation and assistance
Develop/Update & interpret records series
Consult on transferring records to IS&R, records retrieval, records destruction
Design and deliver RIM Training
Develop file classification plans
What is a Record Schedule?
The records schedule for each ministry is organized by series of records and spells out the retention and final disposition of these series. A records series is defined as the total body of related records, whether in one or more formats, that is separately organized and maintained because the records relate to a particular function or subject or result from the same activity. A records series is assigned its own retention period and final disposition.
ARA, 2006, c. 34, Sched. A, s. 11 (1).
Why do we need Records Series?
Records series allow us to: Prevent records from being kept too long or
destroyed too soon Ensure that records identified as having permanent
value are transferred to the Archives of Ontario Reduce space needs and storage costs Allow more efficient use of staff time Enhances accountability
Under the Archives and Recordkeeping Act, 2006, no government record may be destroyed without a records retention schedule/series authorized by the Archivist of Ontario.
Government Common Series
Government common records series describe records that are typically found in many public bodies. The common series that are adopted form part of the public body’s records schedule along with series and sub-series that are specific to the public body’s programs and services.
Areas supported by Common Series
Human Resources Management Purchasing: Equipment, Supplies and Services Accommodations and Moveable Assets Financial Management Audit Management Information and Information Technology Management General Administration Communications Deputy Ministers’ Office Legal Services Ministers’ Office Policy and Planning Transitory Records
Final Disposition Process
1. RIM Office receives disposition notice from IS&R
2. RIM Office verifies records information and authority. Draft memoranda requesting approval for final disposition from program area.
3. Program area managers approve final disposition using email voting buttons
4. RIM Office Coordinator signs off disposition notice and returns it to IS&R to action disposition
Final Disposition Communication
Final Disposition Notification
It is the record custodian’s responsibility to participate in the final disposition process quickly and accurately
Your records will not be destroyed or transferred to Ontario Archives without your approval.
On-Site Records Destruction
Improving IM auditability
Ensuring 3rd Party verification
Electronic Records
Consider using external hard-drives to store semi-active information: easily labelled, easily secured, better managed.
The authority for a transfer is a records series. Many series govern records that exist in both paper and electronic form.
The use of offline removable media such as CDs or DVDs is not recommended, especially for long-term storage. Such media are fragile, vulnerable to loss, corruption and may over time become technologically obsolete and thus inaccessible. They are also less secure, and are not virus checked/refreshed on a regular basis.
Managing Your Email
Email Guidelines for the OPS, published by OCCIPO in 2009
Litigation and access to information also present significant drivers for managing the content of e-mail
Email can include both official and transitory records
Remember: managing information applies to the content—not the format.
What to do with Email
De-clutter your email Establish record ownership Save official email records to a network drive
in .msg format Use folders in Outlook to help sort your e-
mails by subject, organizational unit, or according to your branch file plan.
Familiarize yourself with security requirements, such as those detailed in the Information Security and Privacy Classification documentation
Information Security
• Confidentiality requirements will apply to, for example: e-mails, content (e.g. forms, documents, reports, etc.), official records or other government information, context-specific information, client services, consultations, interactions with vendors, procurement, inter-government communications, reporting, cabinet documents, investigations.
RIM Auditability
Keep your Records Series handy Retain a copy of all box contents listings for
semi-active records stored at IS&R Keep a copy the Records Transfer List, until
the original is return to you Obtain authorization for on-site records
destruction & document records destruction activities
Conclusion
