records management program
TRANSCRIPT
Week 8 Records Management Program
1
Records creation Effective records management program
2
Records should be created when there is a need to remember the details of an event decision or action such that anyone needing recourse to the facts
Records should be created to
Provide evidence of policy
1048707 Provide evidence of decisions
1048707 Provide evidence of actionsactivity
3
Provide evidence of compliance with rules regulations and legislation appropriate to the organisational context
Comply with relevant rules regulations and legislation
Inform colleagues of what has been done or decided (and serve as a reminder later)
Act as a reminder of how something has been done
Track progress of a project or process
4
Records are sometimes created unnecessarily This happens when There is no need for evidence that something has
been done A record duplicates evidence or information in
one or more other records A redundant duplicate of a record is created (for
example via a multiple part form-receipt)
5
Record audits workflow analyses and functional appraisals can all assist in identifying unnecessary and redundant records
Forms and other routine documentation should also be checked to make sure that all the information is needed for a complete and accurate record and it is not duplicated anywhere
6
Each organisation or authority must decide for itself what records need to be created and maintained depending on the legal and regulatory environment and the precise nature of its business
7
The physical act of writing or of printing out a paper record creates and fixes the information
With most electronic records you normally have to save your documents in order to capture them - e-mails though have to be transmitted to the intended recipient to create a record as otherwise they remain in draft form
8
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Records creation Effective records management program
2
Records should be created when there is a need to remember the details of an event decision or action such that anyone needing recourse to the facts
Records should be created to
Provide evidence of policy
1048707 Provide evidence of decisions
1048707 Provide evidence of actionsactivity
3
Provide evidence of compliance with rules regulations and legislation appropriate to the organisational context
Comply with relevant rules regulations and legislation
Inform colleagues of what has been done or decided (and serve as a reminder later)
Act as a reminder of how something has been done
Track progress of a project or process
4
Records are sometimes created unnecessarily This happens when There is no need for evidence that something has
been done A record duplicates evidence or information in
one or more other records A redundant duplicate of a record is created (for
example via a multiple part form-receipt)
5
Record audits workflow analyses and functional appraisals can all assist in identifying unnecessary and redundant records
Forms and other routine documentation should also be checked to make sure that all the information is needed for a complete and accurate record and it is not duplicated anywhere
6
Each organisation or authority must decide for itself what records need to be created and maintained depending on the legal and regulatory environment and the precise nature of its business
7
The physical act of writing or of printing out a paper record creates and fixes the information
With most electronic records you normally have to save your documents in order to capture them - e-mails though have to be transmitted to the intended recipient to create a record as otherwise they remain in draft form
8
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Records should be created when there is a need to remember the details of an event decision or action such that anyone needing recourse to the facts
Records should be created to
Provide evidence of policy
1048707 Provide evidence of decisions
1048707 Provide evidence of actionsactivity
3
Provide evidence of compliance with rules regulations and legislation appropriate to the organisational context
Comply with relevant rules regulations and legislation
Inform colleagues of what has been done or decided (and serve as a reminder later)
Act as a reminder of how something has been done
Track progress of a project or process
4
Records are sometimes created unnecessarily This happens when There is no need for evidence that something has
been done A record duplicates evidence or information in
one or more other records A redundant duplicate of a record is created (for
example via a multiple part form-receipt)
5
Record audits workflow analyses and functional appraisals can all assist in identifying unnecessary and redundant records
Forms and other routine documentation should also be checked to make sure that all the information is needed for a complete and accurate record and it is not duplicated anywhere
6
Each organisation or authority must decide for itself what records need to be created and maintained depending on the legal and regulatory environment and the precise nature of its business
7
The physical act of writing or of printing out a paper record creates and fixes the information
With most electronic records you normally have to save your documents in order to capture them - e-mails though have to be transmitted to the intended recipient to create a record as otherwise they remain in draft form
8
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Provide evidence of compliance with rules regulations and legislation appropriate to the organisational context
Comply with relevant rules regulations and legislation
Inform colleagues of what has been done or decided (and serve as a reminder later)
Act as a reminder of how something has been done
Track progress of a project or process
4
Records are sometimes created unnecessarily This happens when There is no need for evidence that something has
been done A record duplicates evidence or information in
one or more other records A redundant duplicate of a record is created (for
example via a multiple part form-receipt)
5
Record audits workflow analyses and functional appraisals can all assist in identifying unnecessary and redundant records
Forms and other routine documentation should also be checked to make sure that all the information is needed for a complete and accurate record and it is not duplicated anywhere
6
Each organisation or authority must decide for itself what records need to be created and maintained depending on the legal and regulatory environment and the precise nature of its business
7
The physical act of writing or of printing out a paper record creates and fixes the information
With most electronic records you normally have to save your documents in order to capture them - e-mails though have to be transmitted to the intended recipient to create a record as otherwise they remain in draft form
8
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Records are sometimes created unnecessarily This happens when There is no need for evidence that something has
been done A record duplicates evidence or information in
one or more other records A redundant duplicate of a record is created (for
example via a multiple part form-receipt)
5
Record audits workflow analyses and functional appraisals can all assist in identifying unnecessary and redundant records
Forms and other routine documentation should also be checked to make sure that all the information is needed for a complete and accurate record and it is not duplicated anywhere
6
Each organisation or authority must decide for itself what records need to be created and maintained depending on the legal and regulatory environment and the precise nature of its business
7
The physical act of writing or of printing out a paper record creates and fixes the information
With most electronic records you normally have to save your documents in order to capture them - e-mails though have to be transmitted to the intended recipient to create a record as otherwise they remain in draft form
8
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Record audits workflow analyses and functional appraisals can all assist in identifying unnecessary and redundant records
Forms and other routine documentation should also be checked to make sure that all the information is needed for a complete and accurate record and it is not duplicated anywhere
6
Each organisation or authority must decide for itself what records need to be created and maintained depending on the legal and regulatory environment and the precise nature of its business
7
The physical act of writing or of printing out a paper record creates and fixes the information
With most electronic records you normally have to save your documents in order to capture them - e-mails though have to be transmitted to the intended recipient to create a record as otherwise they remain in draft form
8
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Each organisation or authority must decide for itself what records need to be created and maintained depending on the legal and regulatory environment and the precise nature of its business
7
The physical act of writing or of printing out a paper record creates and fixes the information
With most electronic records you normally have to save your documents in order to capture them - e-mails though have to be transmitted to the intended recipient to create a record as otherwise they remain in draft form
8
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
The physical act of writing or of printing out a paper record creates and fixes the information
With most electronic records you normally have to save your documents in order to capture them - e-mails though have to be transmitted to the intended recipient to create a record as otherwise they remain in draft form
8
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
However creating a record is not enough unless the record is then captured or filed into a filing or business classification system created and managed by the organisation
Record creators file records because they need to see and use them in context together with other records relating to the same matter
They are also filed because they need to be kept somewhere particularly if records are to be shared with colleagues
9
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
With paper records the act of filing physically associates records of a related activity or transactions within a container (usually a manila folder or binder) which is then stored and managed subsequently as a physical aggregation
10
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
In the digital domain electronic records are captured by classifying them into a corporate file-plan or business classification scheme
This normally associates the electronic record with an electronic folder which provides the key metadata needed to locate and control the records placed within it
11
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Records captured or filed in a corporate filing system will possess some of the necessary characteristics to be regarded as authentic and reliable
Whatever the format of the records they should be saved into a proper records management system This includes emails Where emails document significant transactions they should be treated and managed as corporate records
12
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
13
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
However most email applications are not good recordkeeping systems as the emails are normally held in personal mailboxes and hence are not accessible to anyone else
The adoption of Electronic Document and Record Management (EDRM) systems can provide an effective solution here
14
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Note that whilst a record can consist of a single document it may also be an aggregation of records for example a file or even a register which is built up over time
For all records regardless of format creation consists of both compiling the necessary facts or details and assigning its place in the system by means of a reference file title or tagging (which can be automated for electronic records
15
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Some of the facts and details will be in the content of the record others can be captured in the system
These other details are called metadata Metadata is additional information about the record that is needed to validate and understand the it and its context
16
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
In some instances organisations may require the use of authenticating mechanisms such as signatures stamps seals or initials With physical records these are directly visible on examining the record as they form part of the physical record
17
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
However use of digital signatures or watermarks can be problematic because if an electronic record is to be held for some time it may not be possible to maintain access to the digital signature for the required period and the record may then become unreadable and consequently unusable
18
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
19
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
The filing system or record plan has a major role to play in active records management The main reasons for this are
1 The authenticity of the record depends on the record keeping system in which it was created andor captured
2 The fact that your records are created as part of your business processes and filed or captured into the filing system will contribute to the recordsrsquo reliability
20
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
3 As with any system a filing system helps ensure that repetitive tasks are carried out accurately and consistently
21
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
The benefits of an effective classification or filing system are
1048707 faster assignment of records to files 1048707 faster retrieval of information and records 1048707 greater security and protection of records
Such systems must be in place prior to or at the very latest in parallel with record creation or capture
22
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Records are a basic tool of government administration
Records provide information for planning and decision making form the foundation for government accountability and are often subject to specific legal requirements
23
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Records are essential for effective and efficient administration but if poorly managed they can become a liability hampering operations and draining resources
24
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
An effective records management program helps an organization get the most out of its records It also helps limit costs and the risks that can come with poorly managed records
25
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
An effective records management program has certain characteristics or attributes
The New York State Archives has identified seven such attributes of an effective records management program
Records managers can assess the effectiveness of their programs by the presence or absence of these attributes
26
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
A government office has an effective records management program when the office
creates the records it needs and none that it doesnrsquot Records are efficiently created in the normal course of business for all functions sufficient to satisfy legal fiscal administrative and other recordkeeping requirements
27
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
retains the records needed as essential evidence and gets rid of obsolete records
Records are retained and usable for as long as required for legal or business purposes and then efficiently disposed of or preserved as archives to support secondary uses
28
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
stores its recordsmdashespecially archival recordsmdashsafely and securely
Records are stored and maintained in a safe secure cost-effective fashion to support retention access and archival preservation where applicable
29
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
retrieves information quickly through efficient access and retrieval systems
Records systems provide effective and efficient retrieval and access to records to support use by the creating organization and by the public as appropriate under law
30
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
uses the right information technology for the right reasons Appropriate uses are made of information technology to store retrieve make available and use records
31
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
promotes and supports the use of archival records as a community resource Appropriate secondary use of records by public and other entities is supported and promoted
32
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
recognizes through policy and procedure that records management is everyonersquos job
Ongoing records management goals and priorities are integrated through the organization and its operations as part of the normal course of business
33
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Many records management programs manage existing records well Unfortunately records management often is not effective during the time that records are being created
This can lead to redundant records lack of clearly identified official copies and insufficient records for audits or litigation An effective records management program is one that creates all the records it needs and none that itdoes not need
34
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Here are some indications of effective records creation Records are sufficient for audits Unneeded records and copies are kept to a
minimum Official copies of records are identified Records are available for litigation Archives guidelines and other professional
standards are used in records creation
35
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
is key to an effective records management program It ensures that records are present when needed for litigation audits day-to-day business purposes or historical research but that unneeded records do not take up costly storage space
Regular and systematic disposition of records according to a State Archives retention schedule provides evidence that records which no longer exist were not destroyed to avoid their use as evidence in court or to evade Freedom of Information requests
36
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Some indications that a good retention program is in place include Archival records are identified early in their life
cycle Retention schedules are adopted and used in the
normal course of business Office retention schedules are developed and
used Records are systematically disposed of
37
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Electronic records are retained and disposed of according to retention schedules
Plans are in place to ensure that electronic records continue to be accessible following technology changes
Disposition is routinely documented
38
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
One sure sign that an organization has an effective records management program in place is that it stores and maintains its records securely and efficiently
Cost-effective secure storage systems that provide quick and rapid retrieval will help ensure the ready availability of records in case of litigation and audits as well as for future reference use
39
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Some indications that a good storage program is in place include Inactive records are stored off-site in an in-house
or contracted records center Proper shelving is used to store records Electronic data backup procedures are in place
and are routinely followed Disaster preparedness plans are in place Micrographics standards are followed
40
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Microfilm masters and computer backups are stored securely offsite
Fire prevention systems are in place in storage areas
Adequate environmental controls exist in storage areas
Security rules and procedures are in place and followed
Recording format standards are complied with
41
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
42
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Organizations create retain and preserve records so that they can be used If a user cannot locate a document it might as well not exist
As such an effective records management program should have in place systemsmdashmanual or automatedmdashthat can locate and retrieve records in a reliable and timely fashion to meet the needs of users
43
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Some signs that a program possesses this attribute include Satisfactory filing and locator systems with
documented policies and procedures Finding aids such as indexes are prepared and
used
44
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Subject matter lists to meet Freedom of Information Law (FOIL) requirements are prepared and used
Policies and procedures regarding access restrictions are developed and in use
Filing equipment is used appropriately Local area network (LAN) policies and procedures
are developed and in use
45
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
The opportunities afforded by technology to support records management are growing rapidly
We now have at our disposal a remarkable range of technologies for creating using and managing records traditional paper filing systems micrographics databases optical imaging etc
46
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
With such a variety of tools available it becomes critical that we choose the right ones for the right occasions and not be swayed in selection decisions either by fear of new technologies or by the desire to have the newest and brightest technology ldquotoys
47
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Ways of telling that a records management program has struck this balance include the following Business requirements are identified through
needs assessments The capacity to support technology is identified
through feasibility studies Business process analysis is part of technology
planning and implementation Recordkeeping requirements are taken into
account in technology implementation
48
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Industry and government standards for acquiring and implementing technology are complied with
Adequate technical support is available internally or via contract
Formal electronic filing structures and policies for electronic recordkeeping are in place
49
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Cooperation exists between records management and information technology services departments
Adequate training is offered for staff in the use of technology
50
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
An important sign of an effective records management program is the preservation of archival records and the promotion of their appropriate use by the public
Most records lose all value when the purpose for which they were created has been realized However a small percentage hold value beyond their original purposemdashfor historical or genealogical research exhibits publications teaching aids long-term legal documentation or other activities
51
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
These archival records can be useful to the public other governments or agencies teachers writers and other people or groups that require documentation in their work or avocations
52
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Some indications that this component of records management is in place include
Public outreach programs exist Records reference use areas are available
for the public Policies and procedures are in place for use
of records by the public
53
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Information sharing with other governments or organizations is done to develop and distribute finding aids so access to archival records is improved
Records are used for exhibits and education
54
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
The Internet is made available for public access to and actual use of records
Marketing strategies are in place to encourage public access to and use of records
55
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
It exists when- Records management policies and
procedures are in place and are updated regularly
Records management is integrated into all policies where applicable
Records policies and procedures are routinely and consistently communicated to staff
A disaster preparedness plan is in place and is reviewed regularly
56
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
A records management advisory council is appointed and active
Local records management legislation is in effect
Records management activities receive regular and adequate funding beyond grants
A records management plan is in place and is followed
57
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
Records management staff are hired and retained
Staff frequently attend workshops professional conferences and other educational events
A records management officer is appointed at the appropriate level in the organization
58
THE END
59
THE END
59