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TRANSCRIPT
Records Management
Training for
Records Officers and Assistants
Maine State Archives Records Management Training Oct. 2016 1
Welcome to Records Management!
OVERVIEW Introduction
What is Records Management
Terms and Definitions
Records Management Responsibilities
Benefits
Gaining Control of Your Office Records – a Ten Step Plan (including)
Appointing Records Officers
Inventories
Record Retentions
Schedules and Amendments
Brief Overview of Email/Electronic Records Management
Questions
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The Exciting World of RM
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Maine State Archives
Records Management Program
Why Our Program Exists – Because it’s written in Maine Statute
And this Statute is based on an International (ISO) Standard for Records Management
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What is Records Management Records management is controlling records throughout their life cycle.
This begins with the creation or receipt of a record and continues
through maintenance, use, and disposition. Records Management is the
process by which an agency captures and maintains evidence of and
information about its programs, transactions, policies and procedures in
the form of records.
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HOWEVER….
Records Management is not always an exact science.
Part of Records Management
is using common sense and
sound judgment.
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Some RM Misconceptions
Records management is all about getting records out of your office.
Most state employees don’t need to concern themselves with records management because they are not creating anything important.
If you don’t know what to keep, it’s better to keep everything – just in case.
All emails should be saved/”archived”
If your agency doesn’t send anything to the Records Center they don’t need schedules.
The Records Center and Archives are the same thing.
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Records Management – What We Do
• Provide standards, procedures and techniques for effective
management of records
• Help establish retention schedules
• Provide training
• Provide assistance in the transfer and retrieval of records
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State Agency Responsibility
• Appoint an Agency Records Officer
• Records management program/policy
• Inventory agency records and have updated schedules
• Appoint Assistant Records Officer(s) as needed
• Train employees
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Major Reasons Why Good
Records Management Is Vital
Support s Better Management Decision
Making
Improves Efficiency and Productivity
Promotes a Positive Reputation for State
Agencies.
Protects the Agency and the Records
Safeguards Vital Information
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Implications of Improper Record Keeping
Presumption that records are correct and complete
Waste of resources/money to store unnecessary records
Inability to locate information when needed
Destruction of records before they have met fiscal or legal
requirements or possible destruction of archival records
Having to produce records in Discovery proceedings that
otherwise should have been destroyed
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Key Aspects of Records Management
Ensuring compliance
Organizing active records
Retention and disposition
Managing inactive records
Protecting vital records
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Gaining Control
of Records The 10-Step Plan
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Step 1
You Need the Right People in the Right Places –
Appointing Records Officers and Assistants
A Records Officer Coordinates the Department’s Records
Management Program and ensures records management
activities are performed in accordance with standards and
procedures.
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Step 2
Identify Your Records - Conduct a Records Inventory
An Inventory is perhaps the most important, often overlooked
step in the Records Management process. BUT…if you don’t
know what you have, how can you properly schedule your
records and determine what should stay and what should go.
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What is a Records Inventory
A high level survey of all types of information created, received and
stored by your agency.
A Records Inventory can tell you:
• Records Series
• Format
• Location
• Date range
• Volume of material
Further Information: National Archives Video: Word of the Week – Inventory
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What is a Record?
Record means all documentary
material in any format (paper,
microfilm, digital records including e-
mail messages and attachments), made
or received and maintained by an
agency in accordance with law or rule,
or in the transaction of its official
business.
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If you answer “yes” to any of these questions, you may have a record:
Was it created in the course of business?
Was it received for action?
Does it document agency activities and actions?
Is it mandated by statute or regulation?
Does it support financial obligations or legal claims?
Does it communicate agency requirements?
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Are Drafts Considered Records?
Drafts or working documents are records but they might
only need to be retained for a brief period of time if they
do not have significant administrative, legal, fiscal or
historical value.
For more information on DRAFTS see the July 2016 Advice Bulletin
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If you answer “yes” to any of these questions, you may have non-
retention material (or “non-records”):
Is it reference material?
Is it a convenience copy?
Is it a stock copy?
Is it only related to your personal affairs?
For more information watch the NARA video on Non-Records
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Step 3 Establish Recordkeeping Requirement Procedures
Create an Agency Records Management Policy
A policy will guarantee all employees are following the same records
management procedures.
Where
What
How
Who
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Step 4
Records
Retention
Schedules
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Managing Your Records
In order to have the information you need
(when it’s required), there has to be a way to
identify, manage and retain records for the
right amount of time.
Records are managed by creating agency
schedules – a document that tells you how
long to keep specific types of records and what
should happen to them.
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What Is a Records Schedule?
A records schedule describes agency records, establishes a period for
their retention by the agency, and provides mandatory instructions for
what to do with them when they are no longer needed for current
Government business.
This includes digital records or records that never leave the
creating agency's custody.
The most important principle to remember is this: Content, not
format, determines retention.
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Creation
Active/Current
Inactive/Noncurrent
Disposition
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Types of Retention Schedules
• General Record Schedules - issued by the
Maine State Archives to provide retention
and disposition standards for records
common to most State agencies
• Agency Schedules – for those records unique to the office
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Do your records fall under the State General Schedules?
Most of the General Schedules relate to audit, fiscal, correspondence or
other administrative office procedures. • Schedule 1, Vendor Series
• Schedule 2, Accounting Series
• Schedule 3, Payrolls and Authorizations
• Schedule 4, Income Series
• Schedule 5, Budget Series
• Schedule 6, Financial Order Series
• Schedule 7, Attorney General Opinions Series
• Schedule 8, Inventory Series
• Schedule 9, Records Management Series
• Schedule 10, Personnel Series
• Schedule 11,MFASIS Reports
• Schedule 12, Minutes of Meetings
• Schedule 13, State Agency Correspondence
• Schedule 14, Rules Adopted by State Agencies
• Schedule 15, Quality Management Records
• Schedule 16, State Employee Charitable Programs
• Schedule 17, Freedom of Access Act
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Next Step
By conducting an Inventory of agency records, you have determined what records you have,
where they are located, dates records close, what similar “series” of records there are, where the
“record copy” resides, etc.
With the Record Retention Schedule, you now have to determine what purpose these records
serve to the daily operations of the agency and beyond.
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Determine Retention and
Disposition of Your Records
Unfortunately, there is no universal guide to determine retention periods
and disposition methods. Each record series needs to be examined
individually in regard to usage patterns, departmental needs, historic
value and legal issues.
Agency retentions can vary from 6 months to 60 plus years depending on
a number of factors. Even records that may appear similar between two
departments can have different usage patterns, and require different
retention strategies.
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Determining Retention Periods
4 Part Criteria
1. Administrative use: What is the value of the records in carrying out the function of the
organization? How long are they needed for immediate retrieval?
2. Legal requirements: Is a certain period specified for compliance with statutes, agency
rules or protection of legal rights and interests of the state? Are Federal retention periods
involved?
3. Fiscal requirements: How much time must be allowed for the completion of fiscal
activities such as audit or budget?
4. Historical or research purposes: Do these records document historical events or the
history and development of the organization?
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Record Disposition
Non-archival (non-permanent) retention is based
completely on the record’s time-value to the business
functions of the agency, including audit or other statutory
requirements, and reasonable access by interested parties.
Archival (or what is sometimes referred to as
Permanent) retention is based on the record’s value after it
no longer serves the agency’s business.
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Things To Consider
Avoid the “Just in Case” or CYA syndrome.
Information should be retained if there is a reasonable
probability it will be needed at some future time to support
legal or business objectives, and the consequences of its
absence would be substantial.
Remember, the presence or absence of information can be
either helpful or harmful.
A retention period is most likely to be valid if it is based on a
consensus of the opinions of persons most knowledgeable
about the value of the information.
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Agency Schedules - Process
The Agency Records Officer submits an
Application for Records Retention Schedule
and Inventory Form (available on our website)
with proper justifications for the chosen
retention times. Samples of the records are also
submitted.
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How to Complete the Amendment
After a retention schedule has been approved by the Maine State
Archives, your agency may need to change it.
Business Needs
Program Ending
Media Change
Submit the Application for Records Retention Schedule form. Mark the
application “amendment.”
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Steps 5 - 8
Creating and Implementing an
Office File Plan
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Creating an Office File Plan
A File Plan is like a smaller, specific version of agency
records schedules that includes information on how and
where the records are kept in a particular office/section;
providing a “location” for every record in an electronic
or paper filing system.
Understanding the file plan helps employees know where
to file their records and helps others know where to find
the records they need to complete their tasks.
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File Plan Set-Up
Give the Who, What, Where and When of the Records
Location
Custodian
Content
Arrangement
Schedule Information
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Clean Out Records Beyond
Approved Retention Periods
Organize records and get rid of materials which are not needed.
If authorized by the records schedule, you can:
Transfer records
Destroy materials
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Step 9 - Maintenance
Once everything is organized, it is important to keep it current
and up to date. Be sure to:
Inventory records
Update schedules
Protect records
Establish a system
Clean out
Review
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Step 10 - Keep Employees
Informed and Trained
• You need to be sure all staff members know about their recordkeeping
responsibilities.
• Monitor and enforce the program to ensure employees are doing their
part: appropriately classifying, managing, and destroying records.
• Records Management staff can help.
• Refer staff to our website: www.maine.gov/sos/arc/records/state/
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Management
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Email Management
First Things First
When you ask: How long do I keep my e-mail?
Remember…Email is a format, not a
record.
Retention is determined by the content of the email.
Records are unique and email is subject to the same retention requirements as paper correspondence.
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Email Schedules
Email is typically considered general correspondence.
In the General Records Schedules, most general
correspondence, and therefore most email, has a
retention period of 2-5 years.
General Schedule #13: State Agency
Correspondence
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General Schedule #13
Series 1 – Commissioner/Executive Correspondence
Retention of Record Copy: 2 Years Disposition: Archival
Series 2 – Program Correspondence
Retention of Record Copy: Variable Disposition: Destroy
Series 3 – General Correspondence
Retention of Record Copy: 2 Years Disposition: Destroy
Series 4 - Transitory Correspondence
Retention of Record Copy: Retain until no longer needed
Disposition: Destroy
Series 5 – Non-Business Related Correspondence
Retention of Record Copy: Delete/destroy immediately
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When Are My Emails Records?
If you are conducting government business
in that email it is considered a record
(communication sent or received in the
transaction of government business.)
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What “Emails” Do You Keep?
First Step Determine if these are “non-records” – those files which do
not require a retention time and can be deleted immediately.
Personal Correspondence
Publications
Spam
CC’s
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Second Step
Determine if the content of the email is directly related
to your job or responsibilities as a state government
employee.
• If NO, (no action required) you can delete this
email file.
• Should it go to somebody else? If YES, you can
either delete (no action required) or forward and
delete the email files.
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Third Step
Determine if you are the Custodian of the Official Record Copy
If you have determined that the email is a record and is part of your job the final step would be to determine if you hold the “record copy.”
If NO (and no action has been taken) you can either delete or forward to the person you know as the appropriate record custodian.
If YES this email is the official record copy and YOU must retain it according to the records retention schedule.
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Email Plan of Attack
Once you open an email message, have a plan -
decide what you will do with the email before you
close it.
Delete it
Deal With It
Forward it
Flag it
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Email Planning
Organizing Folders
It is best to set up folders in your Outlook mailbox that
organize email messages according to your retention
schedules, with sub-folders set up by year and month.
For more information on mailbox and archive folders
watch OIT’s 8 minute video:
http://inet.state.me.us/foaa/mailbox-archive-folders.mp4
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A Word of Warning
ONE IMPORTANT EMAIL NOTE
Be careful when seeing the word “archive” or “archiving” on
the OIT site. This does not mean all email should be saved as
a permanent record. Remember, email is only a format. It is
the content of the email that matters and each record should be
retained according to schedules.
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Some Suggested Email
Folders/Filing Schemes
• Personal email or non-record material (should be deleted immediately)
• Transitory email (delete when no longer needed – typically 30 days or shorter)
• General correspondence requests (delete after 2 years)
• Program related emails (retain according to schedule)
• Permanent email (save to archival folders)
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Email Tips
• Don’t use personal email for professional business
• Don’t delete or save emails indiscriminately
• Limit the use of “Reply All”
• Fill in/use meaningful subject lines
• Plan daily email times
• Consider an Agency-wide Electronic Records time
• Separate transitory email
• Cc: yourself
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Tools in Outlook Use Categories to Color Code and Organize Emails
Organize email by categories which makes it easy to send them to appropriate
folders in your inbox or archives (pst) to meet out their retention.
Right click
on an email,
choose
Categorize,
select a color
and name the
subject
Tools in Outlook Set Up Rules to Manage Email Messages
Set up rules to help manage your inbox and send emails to specified folders.
Either right click on an email or click on the Home tab and click on Rules. This allows
you to send emails directly to folders you have created.
Overall Electronic
Records
Management
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File Naming Challenges
Uniqueness
Persistence over time
Access and ease of use
Ease of administration
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When records are kept in more than
one format, you should identify an
official “record copy” to which
you will apply the full retention
period.
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Important Reminder
Organizing and managing records (including electronic records) limits your liability for deleting records you shouldn't, and gives you authority to delete files you should delete. It will also reduce legal exposure in DISCOVERY proceedings on records that otherwise should have been destroyed.
In other words…IF IT EXISTS AND
SOMEONE ASKS TO SEE IT, THE
AGENCY HAS TO PRODUCE IT!
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Final Note
When an employee leaves a position,
computer files, including e-mail, may NOT
be automatically deleted!
Checklist for Departing Employees (pdf)
For more information go to the OIT website
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Final FINAL Note
How Do You Find the Time? The first step is to start.
How Do You Begin? Get management on board
Conduct an Inventory
Update Schedules
How Does Records Management
Become a Priority? My question is, how can it not be?
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• Records management is like an elevator. You do not notice it
until it is not there.
• Records Management is like a life preserver; you never think
you will need it but... (Hugh Smith)
• Records management means never having to say you are
sorry. (Jan Schuffman).
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Records Staff Tammy Marks
Director
287-5799
Felicia Kennedy
Management Analyst (creating/amending schedules)
287-5798
Robert Caron
Records Center Supervisor (record retrieval, packing boxes for shipping, filling out forms)
287-5792
William Towne
Records Center Assistant (record retrieval, packing boxes for shipping, filling out forms)
287-3627
Maine State Archives: http://www.maine.gov/sos/arc/records/state/
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QUESTIONS?
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